4//SEC Filing
Carlucci Joseph A 4
Accession 0001498068-20-000083
CIK 0001498068other
Filed
Jun 10, 8:00 PM ET
Accepted
Jun 11, 4:35 PM ET
Size
13.6 KB
Accession
0001498068-20-000083
Insider Transaction Report
Form 4
Carlucci Joseph A
DirectorCEO
Transactions
- Exercise/Conversion
Common Stock
2020-06-09$1.28/sh+208,360$266,701→ 454,344 total - Tax Payment
Common Stock
2020-06-09$6.78/sh−71,825$486,974→ 590,879 total - Exercise/Conversion
Stock Option (Right to Buy)
2020-06-09−208,360→ 0 totalExercise: $1.28Exp: 2020-07-09→ Common Stock (208,360 underlying)
Holdings
- 654,285(indirect: See Footnote)
Common Stock
Footnotes (5)
- [F1]Reflects the exercise of options that were otherwise set to expire on July 9, 2020.
- [F2]Reflects shares withheld by the issuer to cover a portion of the option exercise price and tax withholding obligations in connection with the exercise of an expiring stock option.
- [F3]Shares held by trusts for the benefit of the Reporting Person's family. The Reporting Person disclaims beneficial ownership of the shares held by such trusts, except to the extent of his pecuniary interest therein. The filing of this statement by the Reporting Person shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, such Reporting Person is the beneficial owner of the securities reported herein.
- [F4]An option that vested upon the attainment by Centerbridge Capital Partners, L.P. and certain of its affiliates (together, "Centerbridge") of both a 2.5 times return on investment ("MOIC") and a 20% internal rate of return ("IRR").
- [F5]An option that vested upon the attainment by Centerbridge of both a 3.0 times MOIC and a 25% IRR.
Documents
Issuer
American Renal Associates Holdings, Inc.
CIK 0001498068
Entity typeother
Related Parties
1- filerCIK 0001655251
Filing Metadata
- Form type
- 4
- Filed
- Jun 10, 8:00 PM ET
- Accepted
- Jun 11, 4:35 PM ET
- Size
- 13.6 KB