SEC Form 4 · accession 0001179110-16-022971
DAVITA INC. · DVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Javier Rodriguez
Officer — CEO-Kidney Care
Period of report
Apr 11, 2016
Accepted (ET)
Apr 12, 2016 · 4:54 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000927066
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 11, 2016 | M | 216,667 | $43.35 | A | 317,397 | D | |
| Common Stock | Apr 11, 2016 | F | 126,755 | $74.10 | D | 190,642 | D | |
| Common StockF2 | Apr 11, 2016 | S | 89,912 | $73.5063 | D | 100,730 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF3 | $43.35 | Apr 11, 2016 | M | 216,667 | D | Apr 13, 2014 | Apr 13, 2016 | Common Stock | 216,667 | 0 | D |
Explanation of responses
- F1The exercise and sale reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 5, 2015.
- F2Represents the weighted average sale price of $73.5063. The range of prices for the sale of these shares was $73.24-$74.29, rounded to the nearest hundredths. The reporting person undertakes to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
- F3The Stock Appreciation Rights were granted on 4/13/2011. 50% vested on 4/13/2014 and the remaining 50% vested on 4/13/2015.