Statement of Changes in Beneficial Ownership (4)
October 28 2020 - 6:09PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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FIRST MARK L |
2. Issuer Name and Ticker or Trading Symbol
Addus HomeCare Corp
[
ADUS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
6303 COWBOYS WAY, SUITE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/27/2020 |
(Street)
FRISCO, TX 75034
(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 | 10/27/2020 | | A | | 1075 (1) | A | $0.00 | 21297 | D | |
Common Stock | | | | | | | | 566638 (2) | I (2) | See Footnotes |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Restricted shares granted to non-employee directors that will vest in full on June 15, 2021. |
(2) | The reported securities are held by ECP Helios Partners III, L.P. ("Helios III"), ECP General III, L.P. ("General III") and Eos Partners SBIC III, L.P. ("SBIC III"). Mark L. First is a director of the Issuer and a managing director of Eos Management, L.P. and its affiliates ("Eos"), which includes Helios III, General III and SBIC III. As a result, Mr. First may be deemed to share beneficial ownership of the securities owned by Eos. Mr. First disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. First is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. |
Remarks: Exhibit Index: Exhibit 24 - Power of Attorney for Mark L. First dated November 30, 2016 |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
FIRST MARK L 6303 COWBOYS WAY SUITE 600 FRISCO, TX 75034 | X |
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Signatures
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/s/ Brian Poff, Attorney-in-Fact for Mark L. First | | 10/28/2020 |
**Signature of Reporting Person | Date |
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