4//SEC Filing
Sim Kenneth T. 4
Accession 0001250853-22-000121
CIK 0001083446other
Filed
Dec 11, 7:00 PM ET
Accepted
Dec 12, 6:50 PM ET
Size
16.3 KB
Accession
0001250853-22-000121
Insider Transaction Report
Form 4
Sim Kenneth T.
DirectorExecutive Chairman
Transactions
- Exercise/Conversion
Warrants to purchase Common Stock
2022-12-08−51,445.18→ 0 totalExercise: $10.00From: 2017-12-08Exp: 2022-12-08→ Common Stock (51,445.18 underlying) - Exercise/Conversion
Common Stock
2022-12-08$11.00/sh+48,587$534,457→ 291,859 total - Exercise/Conversion
Common Stock
2022-12-08$10.00/sh+51,445$514,450→ 243,272 total - Exercise/Conversion
Warrants to purchase Common Stock
2022-12-08−48,587.12→ 0 totalExercise: $11.00From: 2017-12-08Exp: 2022-12-08→ Common Stock (48,587.12 underlying)
Holdings
- 10,299,259(indirect: By Allied Physicians of California, A Professional Medical Corporation)
Common Stock
- 42,996(indirect: By Trust)
Common Stock
- 520,117(indirect: By Trust)
Common Stock
- 230,688(indirect: By Trust)
Common Stock
Footnotes (5)
- [F1]These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- [F2]These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person and his children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- [F3]These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- [F4]These securities are beneficially owned by Allied Physicians of California, A Profession Medical Corporation, of which the Reporting Person is a director, officer and shareholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
- [F5]On December 8, 2017, a reverse merger transaction between the Issuer and Network Medical Management, Inc. ("NMM") was consummated such that NMM became a wholly-owned subsidiary of the Issuer (the "Merger). Immediately prior to the closing of the Merger, the Reporting Person was a shareholder of NMM. Pursuant to the Merger, the shares of NMM common stock previously held by Reporting Person were converted into (i) 1,563,804 shares of common stock of the Issuer, (ii) a warrant to purchase 48,587.12 shares of common stock of the Issuer at an exercise price of $11.00 per share, (iii) a warrant to purchase 51,445.18 shares of common stock of the Issuer at an exercise price of $10.00 per share, (iv) cash in lieu of fractional shares, and (v) the Reporting Person's pro rata portion, if any, of the holdback shares of common stock of the Issuer (such pro rata portion of the holdback shares would, without offset, initially be equal to 173,756.04 shares of common stock of the Issuer).
Documents
Issuer
Apollo Medical Holdings, Inc.
CIK 0001083446
Entity typeother
Related Parties
1- filerCIK 0001725499
Filing Metadata
- Form type
- 4
- Filed
- Dec 11, 7:00 PM ET
- Accepted
- Dec 12, 6:50 PM ET
- Size
- 16.3 KB