Form 4 for ASTH Astrana Health, Inc.
Accepted 2023-11-16 00:00:00 ET · period of report 2023-05-16 · accession 0001104659-23-119141 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2023-11-16 | 2023-05-16 | ASTH | Vong John | CAO | A - Grant | $0.00 | +4,560 | 8,331 | +121% | $0 |
| 2023-11-16 | 2023-07-11 | ASTH | Vong John | CAO | F - Tax | $32.07 | -325 | 4,966 | -6% | -$10.4K | |
| M | 2023-11-16 | 2023-05-16+ | ASTH | Vong John | CAO | D - Sale to Iss | $0.00 | -7,204 | 6,811 | -51% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-05-16 | A | A | 760 | $0.00 | 7,571 | D | — | — | (F4) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares of restricted stock shall vest in four equal annual installments beginning on November 30, 2023 and upon achievement of a pre-established performance goal on or before July 1, 2023, which performance goal was met. |
| 2 | Common | Common Stock | 2023-07-11 | F | D | 325 | $32.07 | 4,966 | D | — | — | (F6) This transaction represents the surrender of shares to offset against tax withholding obligations associated with certain shares of the restricted stock award that vested on July 11, 2023. (F7) Includes 4,349 shares of restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 2,829 shares, of which 942 shares vest on each of July 11, 2024 and July 11, 2025 and 945 shares vest on July 11, 2026; (ii) 760 shares, which vest in four equal annual installments beginning on November 30, 2023; and (iii) 760 shares, which vest upon achievement of certain pre-established performance goals. |
| 3 | Common | Common Stock | 2023-05-16 | A | A | 1,520 | $0.00 | 5,291 | D | — | — | (F2) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. The shares of restricted stock were scheduled to vest upon achievement of a pre-established performance goal on or before July 1, 2023. The applicable performance goal was not met, and the restricted shares were forfeited. |
| 4 | Common | Common Stock | 2023-05-16 | D | D | 4,164 | $0.00 | 3,771 | D | — | — | (F1) Represents cancellation of all performance-based restricted stock awards granted on December 12, 2022. |
| 5 | Common | Common Stock | 2023-05-16 | A | A | 1,520 | $0.00 | 6,811 | D | — | — | (F3) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. The shares of restricted stock were scheduled to vest upon achievement of a pre-established performance goal on or before July 1, 2023. The applicable performance goal was not met, and the restricted shares were forfeited. |
| 6 | Common | Common Stock | 2023-07-01 | D | D | 1,520 | $0.00 | 5,291 | D | — | — | (F3) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. The shares of restricted stock were scheduled to vest upon achievement of a pre-established performance goal on or before July 1, 2023. The applicable performance goal was not met, and the restricted shares were forfeited. |
| 7 | Common | Common Stock | 2023-07-01 | D | D | 1,520 | $0.00 | 6,811 | D | — | — | (F2) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. The shares of restricted stock were scheduled to vest upon achievement of a pre-established performance goal on or before July 1, 2023. The applicable performance goal was not met, and the restricted shares were forfeited. |
| 8 | Common | Common Stock | 2023-05-16 | A | A | 760 | $0.00 | 8,331 | D | — | — | (F5) Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares of restricted stock shall vest in four equal annual installments beginning on November 30, 2023 and upon achievement of a pre-established performance goal. |