Statement of Changes in Beneficial Ownership (4)
22 March 2017 - 8:36AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
YARMUTH WILLIAM B
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2. Issuer Name
and
Ticker or Trading Symbol
ALMOST FAMILY INC
[
AFAM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
CEO
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(Last)
(First)
(Middle)
9510 ORMSBY STATION ROAD, SUITE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/17/2017
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(Street)
LOUISVILLE, KY 40223
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/17/2017
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F
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4480
(17)
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D
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$48.15
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410794
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D
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Common Stock
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51205
(11)
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I
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By Spouse
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Common Stock
(9)
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55274
(1)
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I
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By family limited partnership
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Common Stock
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5924
(2)
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I
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By trust
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Option (right to buy)
(12)
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$49.05
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(16)
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3/9/2027
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Common Stock
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16100
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16100
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D
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Option (right to buy)
(12)
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$36.03
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(15)
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3/3/2026
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Common Stock
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21400
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21400
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D
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Option (right to buy)
(12)
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$37.28
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(14)
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3/1/2025
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Common Stock
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19800
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19800
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D
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Option (right to buy)
(12)
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$24.28
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(13)
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3/16/2024
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Common Stock
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25200
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25200
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D
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Option (right to buy)
(4)
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$20.89
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(10)
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2/28/2023
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Common Stock
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23600
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23600
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D
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Option (right to buy)
(4)
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$24.16
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(8)
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2/26/2022
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Common Stock
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18600
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18600
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D
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Option (right to buy)
(4)
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$33.27
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(5)
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2/8/2019
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Common Stock
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10400
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10400
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D
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Option (right to buy)
(4)
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$22.18
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(3)
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3/6/2018
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Common Stock
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20000
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20000
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D
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Option (right to buy)
(4)
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$40.13
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(6)
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12/13/2019
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Common Stock
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9000
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9000
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D
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Option (right to buy)
(4)
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$36.69
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(7)
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3/10/2021
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Common Stock
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13000
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13000
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D
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Explanation of Responses:
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(
1)
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Held by WBY Investments Limited Partnership, LLLP, a family limited partnership of which the reporting person is the sole general partner. 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.
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(
2)
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5,924 shares consist of 2 individual trusts FBO J.J. Yarmuth and Jacob J. Yarmuth.
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(
3)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 7, 2008.
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(
4)
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Granted pursuant to the 2007 Stock & Incentive Compensation Plan.
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(
5)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 9, 2009.
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(
6)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, December 14, 2009.
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(
7)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 11, 2011.
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(
8)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, February 27, 2012.
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(
9)
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The reporting person may also be deemed to be the indirect beneficial owner of 14,848 shares of common stock held in the William B. Yarmuth Family Foundation, Inc., a charitable 501(c)(3) entity. As a tax-exempt organization, no part of the foundation's income can inure to the benefit of a private individual; therefore, the reporting person does not have a pecuniary interest in the foundation's shares and he disclaims any such pecuniary interest for purposes of the reporting requirements under Section 16 of the Securities Exchange Act of 1934.
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(
10)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 1, 2013.
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(
11)
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The reporting person disclaims beneficial ownership of these securities, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership for purposes of Section 16 or for any other purpose.
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(
12)
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Granted pursuant to the 2013 Stock & Incentive Compensation Plan.
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(
13)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 17, 2014.
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(
14)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 2, 2015.
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(
15)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 4, 2016.
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(
16)
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The option becomes exercisable in four equal annual installments beginning on the first anniversary of the date of grant, March 10, 2017.
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(
17)
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Payment of tax liability by delivery of securities in connection with vesting of previously issued shares of restricted stock in accordance with Rule 16b-3.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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YARMUTH WILLIAM B
9510 ORMSBY STATION ROAD
SUITE 300
LOUISVILLE, KY 40223
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X
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CEO
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Signatures
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/s/ William B. Yarmuth
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3/21/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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