Carlucci Joseph A 4

4 · American Renal Associates Holdings, Inc. · Filed Jun 11, 2020

Form 4

Period: 2020-06-09

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 total
Exercise: $1.28Exp: 2020-07-09→ Common Stock (208,360 underlying)

Holdings

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

1 file