SEC Form 4 · accession 0001179110-16-027311
DAVITA INC. · DVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeanine Marie Jiganti
Officer — Chief Compliance Officer
Period of report
Jul 1, 2016
Accepted (ET)
Jul 5, 2016 · 3:07 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 | Jul 1, 2016 | M | 2,812 | $48.68 | A | 7,590 | D | |
| Common Stock | Jul 1, 2016 | F | 1,771 | $77.32 | D | 5,819 | D | |
| Common StockF2 | Jul 1, 2016 | S | 1,041 | $77.381 | D | 4,778 | D | |
| Common Stock | Jul 1, 2016 | M | 7,500 | $53.16 | A | 12,278 | D | |
| Common Stock | Jul 1, 2016 | F | 5,157 | $77.32 | D | 7,121 | D | |
| Common StockF3 | Jul 1, 2016 | S | 2,343 | $77.4599 | D | 4,778 | D | |
| Common Stock | Jul 1, 2016 | M | 5,200 | $58.94 | A | 9,978 | D | |
| Common Stock | Jul 1, 2016 | F | 3,964 | $77.32 | D | 6,014 | D | |
| Common StockF4 | Jul 1, 2016 | S | 1,236 | $77.5016 | D | 4,778 | 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 RightsF5 | $48.68 | Jul 1, 2016 | M | 2,812 | D | Jul 9, 2013 | Jul 9, 2017 | Common Stock | 2,812 | 938 | D |
| Stock Appreciation RightsF6 | $53.16 | Jul 1, 2016 | M | 7,500 | D | Dec 5, 2015 | Dec 5, 2017 | Common Stock | 7,500 | 7,500 | D |
| Stock Appreciation RightsF7 | $58.94 | Jul 1, 2016 | M | 5,200 | D | Mar 19, 2016 | Mar 19, 2018 | Common Stock | 5,200 | 5,200 | D |
Explanation of responses
- F1The exercises and sales reported on this Form 4 were made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 1, 2016.
- F2Represents the weighted average sale price of $77.3810. The range of prices for the sale of these shares was $77.36 - $77.40, rounded to the nearest hundredth. 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.
- F3Represents the weighted average sale price of $77.4599. The range of prices for the sale of these shares was $77.40 - $77.50, rounded to the nearest hundredth. 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.
- F4Represents the weighted average sale price of $77.5016. The range of prices for the sale of these shares was $77.50 - $77.52, rounded to the nearest hundredth. 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 shares sold at each separate price.
- F5The Stock Appreciation Rights were granted on 7/9/2012. 25% vested on 7/9/2013, then 6.25% vested every three months thereafter.
- F6The Stock Appreciation Rights were granted on 12/5/2012. 50% vested on 12/5/2015 and the remaining 50% will vest on 12/5/2016.
- F7The Stock Appreciation Rights were granted on 3/19/2013. 50% vested on 3/19/2016 and the remaining 50% will vest on 3/19/2017.