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OPCH

Option Care Health, Inc.

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4126
SEC CIK
0001014739
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380

Last 12 months

Inside the activity.

5 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202600
Feb 202602
Mar 202600
Apr 202600
May 202640
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 29, 2020 Filed Dec 29, 2020 22:08 UTC
MADISON DEARBORN PARTNERS LLCDirector · 10% owner
MDP HC HOLDINGS, LLCDirector · 10% owner
HC GROUP HOLDINGS I, LLCDirector · 10% owner
FINNEGAN PAUL JDirector · 10% owner
MENCOFF SAMUEL MDirector · 10% owner
SaleCommon Stock, par value $0.0001 600,000 $15.00 $9,000,000.00
Disclosure

SEC source: 0001104659-20-140194 · a4.xml · nonDerivative · entry 2

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · Director · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · Director · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · Director · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · Director · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · Director · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · Director · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,330,771

F6 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F7 · balance_after: Consists of (i) 114,265,391 shares of common stock held by HC I, (ii) 5,418 shares of common stock held by Elizabeth Q. Betten, which were issued to Ms. Betten upon vesting of certain RSUs received by Ms. Betten in her capacity as a director of the Issuer, (iii) 5,418 shares of common stock held by Timothy Sullivan, which were issued to Mr. Sullivan upon vesting of certain RSUs received by Mr. Sullivan in his capacity as a director of the Issuer, and (iv) 54,544 RSUs awarded to Ms. Betten and Mr. Sullivan in their capacity as directors of the Issuer.

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
December 29, 2020 Filed Dec 29, 2020 22:07 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
SaleCommon Stock, par value $0.0001 600,000 $15.00 $9,000,000.00
Disclosure

SEC source: 0001104659-20-140193 · a4.xml · nonDerivative · entry 3

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,265,391

F6 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F7 · balance_after: Consists of 114,265,391 shares of common stock held by HC I.

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 29, 2020 Filed Dec 29, 2020 22:07 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
SaleCommon Stock, par value $0.0001 600,000 $15.00 $9,000,000.00
Disclosure

SEC source: 0001104659-20-140192 · a4.xml · nonDerivative · entry 3

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,265,391

F6 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F7 · balance_after: Consists of 114,265,391 shares of common stock held by HC I.

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 24, 2020 Filed Dec 29, 2020 22:08 UTC
MADISON DEARBORN PARTNERS LLCDirector · 10% owner
MDP HC HOLDINGS, LLCDirector · 10% owner
HC GROUP HOLDINGS I, LLCDirector · 10% owner
FINNEGAN PAUL JDirector · 10% owner
MENCOFF SAMUEL MDirector · 10% owner
OtherCommon Stock, par value $0.0001 7,048,357 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-140194 · a4.xml · nonDerivative · entry 1

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · Director · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · Director · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · Director · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · Director · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · Director · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · Director · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,930,771

F1 · kind: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F1 · price: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F2 · balance_after: Consists of (i) 114,865,391 shares of common stock held by HC I, (ii) 5,418 shares of common stock held by Elizabeth Q. Betten, which were issued to Ms. Betten upon vesting of certain restricted stock units ("RSUs") received by Ms. Betten in her capacity as a director of the Issuer, (iii) 5,418 shares of common stock held by Timothy Sullivan, which were issued to Mr. Sullivan upon vesting of certain RSUs received by Mr. Sullivan in his capacity as a director of the Issuer, and (iv) 54,544 RSUs awarded to Ms. Betten and Mr. Sullivan in their capacity as directors of the Issuer.

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
December 24, 2020 Filed Dec 29, 2020 22:07 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
OtherCommon Stock, par value $0.0001 7,048,357 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-140193 · a4.xml · nonDerivative · entry 2

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,865,391

F2 · kind: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F2 · price: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F3 · balance_after: Consists of 114,865,391 shares of common stock held by HC I.

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 24, 2020 Filed Dec 29, 2020 22:07 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
OtherCommon Stock, par value $0.0001 7,048,357 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-20-140192 · a4.xml · nonDerivative · entry 2

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 114,865,391

F2 · kind: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F2 · price: Represents the forfeiture of shares of common stock issued to HC Group Holdings I, LLC ("HC I") in conjunction with the Agreement and Plan of Merger, dated as of March 14, 2019, by and among Option Care Health, Inc. (the "Issuer"), HC Group Holdings II, Inc., HC I, HC Group Holdings III, Inc., Beta Sub, Inc. and Beta Sub, LLC, to prevent dilution related to the vesting of certain outstanding unvested restricted stock units of the Issuer held by Home Solutions, Inc. The shares were forfeited to the Issuer for cancellation on December 24, 2020 as a result of the non-satisfaction of the vesting criteria in respect of such restricted stock units.

F3 · balance_after: Consists of 114,865,391 shares of common stock held by HC I.

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 22:02 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
SaleCommon Stock, par value $0.0001 10,000,000 $15.00 $150,000,000.00
Disclosure

SEC source: 0001104659-20-136374 · a4.xml · nonDerivative · entry 2

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 121,913,748

F2 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F3 · balance_after: Consists of 121,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Ms. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 22:01 UTC SaleCommon Stock, par value $0.0001 10,000,000 $15.00 $150,000,000.00
Disclosure

SEC source: 0001104659-20-136372 · a4.xml · nonDerivative · entry 1

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 121,979,128

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of (i) 121,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I"), (ii) 5,418 shares of common stock held by Elizabeth Q. Betten, which were issued to Ms. Betten upon vesting of certain restricted stock units ("RSUs") received by Ms. Betten in her capacity as a director of Option Care Health, Inc. (the "Issuer"), (iii) 5,418 shares of common stock held by Timothy Sullivan, which were issued to Mr. Sullivan upon vesting of certain RSUs received by Mr. Sullivan in his capacity as a director of the Issuer, and (iv) 54,544 RSUs awarded to Ms. Betten and Mr. Sullivan in their capacity as directors of the Issuer.

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
December 14, 2020 Filed Dec 16, 2020 22:01 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
SaleCommon Stock, par value $0.0001 10,000,000 $15.00 $150,000,000.00
Disclosure

SEC source: 0001104659-20-136373 · a4.xml · nonDerivative · entry 2

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 121,913,748

F2 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F3 · balance_after: Consists of 121,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F4 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Mr. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.direct: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F4 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Mr. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F5 · ownership.nature: (Continued from Footnote 4) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
December 10, 2020 Filed Feb 12, 2021 13:31 UTC
MADISON DEARBORN PARTNERS LLCDirector · 10% owner
MDP HC HOLDINGS, LLCDirector · 10% owner
HC GROUP HOLDINGS I, LLCDirector · 10% owner
FINNEGAN PAUL JDirector · 10% owner
MENCOFF SAMUEL MDirector · 10% owner
SaleCommon Stock, par value $0.0001 17,250,000 $18.50 $319,125,000.00
Disclosure

SEC source: 0001104659-21-021273 · a4.xml · nonDerivative · entry 1

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · Director · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · Director · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · Director · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · Director · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · Director · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · Director · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 97,080,771

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of (i) 97,015,391 shares of common stock held by HC Group Holdings I, LLC ("HC I"), (ii) 5,418 shares of common stock held by Elizabeth Q. Betten, which were issued to Ms. Betten upon vesting of certain restricted stock units ("RSUs") received by Ms. Betten in her capacity as a director of Option Care Health, Inc. (the "Issuer"), (iii) 5,418 shares of common stock held by Timothy Sullivan, which were issued to Mr. Sullivan upon vesting of certain RSUs received by Mr. Sullivan in his capacity as a director of the Issuer, and (iv) 54,544 RSUs awarded to Ms. Betten and Mr. Sullivan in their capacity as directors of the Issuer.

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of the Issuer. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:07 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
SaleCommon Stock, par value $0.0001 2,700,000 $12.50 $33,750,000.00
Disclosure

SEC source: 0001104659-20-097300 · a4.xml · nonDerivative · entry 2

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 131,913,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 131,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:07 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
SaleCommon Stock, par value $0.0001 2,700,000 $12.50 $33,750,000.00
Disclosure

SEC source: 0001104659-20-097298 · a4.xml · nonDerivative · entry 2

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 131,913,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 131,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
August 20, 2020 Filed Aug 20, 2020 21:06 UTC
MADISON DEARBORN PARTNERS LLCDirector · 10% owner
MDP HC HOLDINGS, LLCDirector · 10% owner
HC GROUP HOLDINGS I, LLCDirector · 10% owner
FINNEGAN PAUL JDirector · 10% owner
MENCOFF SAMUEL MDirector · 10% owner
SaleCommon Stock, par value $0.0001 2,700,000 $12.50 $33,750,000.00
Disclosure

SEC source: 0001104659-20-097297 · a4.xml · nonDerivative · entry 1

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · Director · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · Director · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · Director · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · Director · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · Director · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · Director · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 131,913,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 131,913,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
August 06, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Exercise / conversionRestricted Stock Unit · Derivative 21,187 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · derivative · entry 11

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,187 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock.

F5 · shares: Number of RSUs vesting was adjusted from 84,746 RSUs to 21,187 RSUs to reflect the 1-for-4 reverse stock split of Issuer's Common Stock that occurred on February 3, 2020.

F4 · derivative.exercise_date: Fully vested.

F4 · derivative.expiration_date: Fully vested.

Read SEC document
August 06, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Tax withholdingCommon Stock 6,709 $12.16 $81,581.44
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · nonDerivative · entry 4

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,203

Read SEC document
August 06, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Exercise / conversionCommon Stock 21,187 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · nonDerivative · entry 3

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,912

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
August 01, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Exercise / conversionRestricted Stock Unit · Derivative 4,735 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · derivative · entry 10

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,735

Underlying: Common Stock · 4,735 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock.

F3 · shares: Number of RSUs vesting was adjusted from 37,878 RSUs to 9,470 RSUs to reflect the 1-for-4 reverse stock split of Issuer's Common Stock that occurred on February 3, 2020.

F4 · derivative.exercise_date: Fully vested.

F4 · derivative.expiration_date: Fully vested.

Read SEC document
August 01, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Tax withholdingCommon Stock 1,352 $11.78 $15,926.56
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · nonDerivative · entry 2

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,725

Read SEC document
August 01, 2020 Filed Feb 23, 2023 00:06 UTC
DENNESS RICHARDChief Commercial Officer
Exercise / conversionCommon Stock 4,735 $0.00 $0.00
Disclosure

SEC source: 0001437749-23-004245 · rdgdoc.xml · nonDerivative · entry 1

DENNESS RICHARD · CIK 0001746409 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,077

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: Previous number of shares beneficially owned, 92,236, reported on the Form 4 filed on July 13, 2021, has been adjusted to 47,342 to reflect the 1-for-4 reverse stock split of the Issuer's Common Stock that occurred on February 3, 2020.

Read SEC document
July 24, 2020 Filed Jul 24, 2020 20:16 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
SaleCommon Stock, par value $0.0001 8,000,000 $12.50 $100,000,000.00
Disclosure

SEC source: 0001104659-20-086453 · a4.xml · nonDerivative · entry 2

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 134,613,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 134,613,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
July 24, 2020 Filed Jul 24, 2020 20:15 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
SaleCommon Stock, par value $0.0001 8,000,000 $12.50 $100,000,000.00
Disclosure

SEC source: 0001104659-20-086449 · a4.xml · nonDerivative · entry 2

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 134,613,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 134,613,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

Read SEC document
July 24, 2020 Filed Jul 24, 2020 20:14 UTC
MADISON DEARBORN PARTNERS LLCDirector · 10% owner
MDP HC HOLDINGS, LLCDirector · 10% owner
HC GROUP HOLDINGS I, LLCDirector · 10% owner
FINNEGAN PAUL JDirector · 10% owner
MENCOFF SAMUEL MDirector · 10% owner
SaleCommon Stock, par value $0.0001 8,000,000 $12.50 $100,000,000.00
Disclosure

SEC source: 0001104659-20-086447 · a4.xml · nonDerivative · entry 1

MADISON DEARBORN PARTNERS LLC · CIK 0001181100 · Director · 10% owner

MADISON DEARBORN PARTNERS VI-A&C, L.P. · CIK 0001740973 · Director · 10% owner

Madison Dearborn Capital Partners VI-A, L.P. · CIK 0001417975 · Director · 10% owner

MDP HC HOLDINGS, LLC · CIK 0001639951 · Director · 10% owner

HC GROUP HOLDINGS I, LLC · CIK 0001639949 · Director · 10% owner

FINNEGAN PAUL J · CIK 0001182031 · Director · 10% owner

MENCOFF SAMUEL M · CIK 0001219630 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 134,613,748

F1 · price: The per share sale price reported in this Form 4 does not reflect reduction for underwriting discounts.

F2 · balance_after: Consists of 134,613,748 shares of common stock held by HC Group Holdings I, LLC ("HC I").

F3 · ownership.direct: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.direct: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F3 · ownership.nature: MDP HC Holdings, LLC ("MDP HC") is the controlling equityholder of HC I. Madison Dearborn Capital Partners VI-A, L.P. ("MDCP VI-A") is a controlling equityholder and Manager of MDP HC. Madison Dearborn Partners VI-A&C, L.P. ("MDP VI-A&C") is the general partner of MDCP VI-A. Madison Dearborn Partners, LLC ("MDP LLC") is the general partner of MDP VI-A&C, which in turn is the general partner of MDCP VI-A. Elizabeth Q. Betten and Timothy P. Sullivan are Managing Directors of MDP LLC, limited partners of MDP VI-A&C, serve on the board of managers of HC I and serve on the board of directors of Option Care Health, Inc. Paul J. Finnegan and Samuel M. Mencoff are the sole members of a limited partner committee that (by majority vote) controls investment decisions of shares held directly by MDCP VI-A, and may be deemed to control the disposition of shares of Common Stock held directly by HC I.

F4 · ownership.nature: (Continued from Footnote 3) By virtue of the relationships described in this footnote, Ms. Betten and Messrs. Sullivan, Finnegan and Mencoff may be deemed to exercise voting and dispositive power with respect to the shares of Common Stock held by HC I. Each of Mr. Finnegan, Mr. Mencoff, Mr. Sullivan, Ms. Betten, MDP LLC, MDP VI-A&C, MDCP VI-A and MDP HC disclaims beneficial ownership of the shares of Common Stock owned by HC I except to the extent of its pecuniary interest therein.

F5 · ownership.nature: The other beneficial owners of the reported securities have separately filed Form 4s.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:43 UTC GrantCommon Stock, par value $0.0001 15,237 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076453 · a4.xml · nonDerivative · entry 1

Pate R Carter · CIK 0001641406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,896

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $206,000 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:42 UTC GrantCommon Stock, par value $0.0001 14,978 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076452 · a4.xml · nonDerivative · entry 1

GOLDING DAVID W · CIK 0001286630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,813

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $202,500 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:42 UTC GrantCommon Stock, par value $0.0001 21,783 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076450 · a4.xml · nonDerivative · entry 1

KRAEMER HARRY M JANSEN JR · CIK 0001082877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,760

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $294,500 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:41 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
GrantCommon Stock, par value $0.0001 16,272 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076449 · a4.xml · nonDerivative · entry 1

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,690

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $220,000 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:40 UTC
Sahney NitinDirector
GrantCommon Stock, par value $0.0001 15,237 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076448 · a4.xml · nonDerivative · entry 1

Sahney Nitin · CIK 0001505567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,610

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $206,000 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:39 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
GrantCommon Stock, par value $0.0001 16,272 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076446 · a4.xml · nonDerivative · entry 1

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,690

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $220,000 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
June 22, 2020 Filed Jun 24, 2020 20:39 UTC
ARLOTTA JOHNDirector
GrantCommon Stock, par value $0.0001 15,348 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-076445 · a4.xml · nonDerivative · entry 1

ARLOTTA JOHN · CIK 0001266153 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through John J. Arlotta Living Trust

Disclosed balance after: 30,833

F1 · shares: The reporting person received an award of restricted stock units on June 22, 2020. The number of restricted stock units granted was calculated to reflect $207,500 of value based on the closing price of the issuer's common stock on May 22, 2020, the date of the annual meeting at which directors were elected.

Read SEC document
May 11, 2020 Filed May 13, 2020 22:30 UTC PurchaseCommon stock 2,000 $12.55 $25,090.20
Disclosure

SEC source: 0000899243-20-013022 · doc4.xml · nonDerivative · entry 1

NIELSEN ALAN TROY · CIK 0001780463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.5400 to 12.5496, inclusive. The reporting person undertakes to provide to Option Care Health, Inc., any security holder of Option Care Health, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) to this Form 4.

Read SEC document
March 09, 2020 Filed Jul 13, 2021 17:31 UTC
DENNESS RICHARDCHIEF STRATEGY OFFICER
GrantStock Option (Right to Buy) · Derivative 43,312 $0.00 Strike: $13.34 $0.00
Disclosure

SEC source: 0001104659-21-091580 · tm2122011-5_4seq1.xml · derivative · entry 3

DENNESS RICHARD · CIK 0001746409 · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,312

Underlying: Common Stock · 43,312 shares

Expires 2030-03-09

F3 · derivative.exercise_date: The stock option will vest as to 50% of the underlying shares of Common Stock on the second anniversary of the grant date and 25% on each of the third and fourth anniversaries of the grant date.

Read SEC document
March 09, 2020 Filed Jul 13, 2021 17:31 UTC
DENNESS RICHARDCHIEF STRATEGY OFFICER
GrantCommon Stock, par value $0.0001 22,492 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-091580 · tm2122011-5_4seq1.xml · nonDerivative · entry 1

DENNESS RICHARD · CIK 0001746409 · CHIEF STRATEGY OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,348

F1 · shares: The reporting person received an award of restricted stock units on March 9, 2020. The number of restricted stock units granted was calculated to reflect $300,000 of value based on the closing price of the issuer's common stock on March 9, 2020, the date when the issuer's compensation committee approved equity awards for 2020.

Read SEC document
March 09, 2020 Filed Jul 13, 2021 17:30 UTC
Booker HarrietCHIEF OPERATING OFFICER
GrantStock Option (Right to Buy) · Derivative 57,748 $0.00 Strike: $13.34 $0.00
Disclosure

SEC source: 0001104659-21-091579 · tm2122011-4_4seq1.xml · derivative · entry 3

Booker Harriet · CIK 0001723978 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,748

Underlying: Common Stock · 57,748 shares

Expires 2030-03-09

F3 · derivative.exercise_date: The stock option will vest as to 50% of the underlying shares of Common Stock on the second anniversary of the grant date and 25% on each of the third and fourth anniversaries of the grant date.

Read SEC document
March 09, 2020 Filed Jul 13, 2021 17:30 UTC
Booker HarrietCHIEF OPERATING OFFICER
GrantCommon Stock, par value $0.0001 29,988 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-091579 · tm2122011-4_4seq1.xml · nonDerivative · entry 1

Booker Harriet · CIK 0001723978 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,337

F1 · shares: The reporting person received an award of restricted stock units on March 9, 2020. The number of restricted stock units granted was calculated to reflect $400,000 of value based on the closing price of the issuer's common stock on March 9, 2020, the date when the issuer's compensation committee approved equity awards for 2020.

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:59 UTC
SULLIVAN TIMOTHY PDirector · 10% owner
GrantCommon Stock, par value $0.0001 65,672 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071886 · tm1924596d9_4.xml · nonDerivative · entry 1

SULLIVAN TIMOTHY P · CIK 0001245970 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,672

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:53 UTC GrantCommon Stock, par value $0.0001 61,493 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071877 · tm1924596d2_4.xml · nonDerivative · entry 1

Pate R Carter · CIK 0001641406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,636

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:58 UTC
Sahney NitinDirector
GrantCommon Stock, par value $0.0001 61,493 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071885 · tm1924596d8_4.xml · nonDerivative · entry 1

Sahney Nitin · CIK 0001505567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,493

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:58 UTC
ARLOTTA JOHNDirector
GrantCommon Stock, par value $0.0001 61,940 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071883 · tm1924596d6_4.xml · nonDerivative · entry 1

ARLOTTA JOHN · CIK 0001266153 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through John J. Arlotta Living Trust

Disclosed balance after: 61,940

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:57 UTC GrantCommon Stock, par value $0.0001 87,910 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071882 · tm1924596d5_4.xml · nonDerivative · entry 1

KRAEMER HARRY M JANSEN JR · CIK 0001082877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,910

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:56 UTC
BETTEN ELIZABETH QUADROSDirector · 10% owner
GrantCommon Stock, par value $0.0001 65,672 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071880 · tm1924596d4_4.xml · nonDerivative · entry 1

BETTEN ELIZABETH QUADROS · CIK 0001780016 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,672

Read SEC document
December 11, 2019 Filed Dec 11, 2019 21:54 UTC GrantCommon Stock, par value $0.0001 60,448 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-071878 · tm1924593d3_4.xml · nonDerivative · entry 1

GOLDING DAVID W · CIK 0001286630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,343

Read SEC document
August 16, 2019 Filed Aug 20, 2019 21:22 UTC
DENNESS RICHARDChief Strategy Officer
GrantRestricted Stock Unit · Derivative 84,746 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-027075 · form4.xml · derivative · entry 1

DENNESS RICHARD · CIK 0001746409 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,746

Underlying: Common Stock, $.0001 Par Value · 84,746 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of Common Stock.

F2 · derivative.exercise_date: All Restricted Stock Units granted in this award vest on August 6, 2020.

F2 · derivative.expiration_date: All Restricted Stock Units granted in this award vest on August 6, 2020.

Read SEC document
August 16, 2019 Filed Aug 20, 2019 20:41 UTC
Booker HarrietChief Operating Officer
GrantRestricted Stock Unit · Derivative 127,119 Not disclosed Not disclosed
Disclosure

SEC source: 0001127602-19-027066 · form4.xml · derivative · entry 1

Booker Harriet · CIK 0001723978 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,119

Underlying: Common Stock, $.0001 Par Value · 127,119 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock.

F1 · price: Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock.

F2 · derivative.exercise_date: All Restricted Stock Units granted in this award vest on August 6, 2020.

F2 · derivative.expiration_date: All Restricted Stock Units granted in this award vest on August 6, 2020.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
Exercise / conversionCash-Settled Restricted Stock Unit · Derivative 18,905 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · derivative · entry 7

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 18,905 shares

Expires 2019-08-06

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · derivative.exercise_price: Each cash-settled restricted stock unit ("Cash-Settled RSU") is the economic equivalent of one share of Common Stock. Each vested Cash-Settled RSU is entitled to a cash payment equal to the fair market value of one share of the Common Stock as of the vesting date based on the closing market price of the Common Stock on such date, or if no such closing market price is available on such date, for the immediately preceding business day. The cash settlement of the Cash-Settled RSUs is reported for purposes of Form 4 as the disposition of the Cash-Settled RSU and a simultaneous acquisition and disposition of the underlying Common Stock.

F6 · price: Each cash-settled restricted stock unit ("Cash-Settled RSU") is the economic equivalent of one share of Common Stock. Each vested Cash-Settled RSU is entitled to a cash payment equal to the fair market value of one share of the Common Stock as of the vesting date based on the closing market price of the Common Stock on such date, or if no such closing market price is available on such date, for the immediately preceding business day. The cash settlement of the Cash-Settled RSUs is reported for purposes of Form 4 as the disposition of the Cash-Settled RSU and a simultaneous acquisition and disposition of the underlying Common Stock.

F7 · price: The Cash-Settled RSUs vested upon the consummation of the Merger, on which date the fair market value of a share of Common Stock was equal to $2.67, which was the closing market price of the Common Stock on August 6, 2019.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

F8 · ownership.nature: The Cash-Settled RSUs were granted on June 3, 2019 under the Issuer's 2018 Equity Incentive Plan. These securities were received by Shackelton in connection with his service as a member of the board of directors of the Issuer. Shackelton has agreed that all equity awards he receives for serving as a director of the Issuer shall be issued to CCP.

F9 · ownership.nature: Following the transactions reported herein, CCP, CCP2 and the Separate Account directly owned 2,159,891; 483,043; and 822,678 shares of Common Stock, respectively.

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August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
Disposition to issuerSeries C Preferred Stock · Derivative 614,177 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · derivative · entry 6

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 1,549,321 shares

Expires 2019-08-06

F5 · derivative.exercise_price: In connection with the Merger, the Issuer entered into a Preferred Stock Repurchase Agreement, dated as of March 14, 2019, with CCP, CCP2, and the Separate Account, pursuant to which the Issuer repurchased from CCP, CCP2 and the Separate Account all 614,177 of the issued and outstanding Issuer's Series C Convertible Preferred Stock, par value $0.0001 per share (the "Series C Preferred Stock"), for (i) a cash payment of $121,621,792.90, which is equal to 120% of the liquidation preference (as defined in the Certificate of Designations of Series C Preferred Stock) per share of Series C Preferred Stock, determined as of the date of the repurchase closing (including any dividends accrued through such date), which liquidation preference value was $165.020, and (ii) 1,549,321 shares of Common Stock, which is equal to 2.5226 fully paid, validly issued, and non-assessable shares of Common Stock per share of Series C Preferred Stock.

F5 · price: In connection with the Merger, the Issuer entered into a Preferred Stock Repurchase Agreement, dated as of March 14, 2019, with CCP, CCP2, and the Separate Account, pursuant to which the Issuer repurchased from CCP, CCP2 and the Separate Account all 614,177 of the issued and outstanding Issuer's Series C Convertible Preferred Stock, par value $0.0001 per share (the "Series C Preferred Stock"), for (i) a cash payment of $121,621,792.90, which is equal to 120% of the liquidation preference (as defined in the Certificate of Designations of Series C Preferred Stock) per share of Series C Preferred Stock, determined as of the date of the repurchase closing (including any dividends accrued through such date), which liquidation preference value was $165.020, and (ii) 1,549,321 shares of Common Stock, which is equal to 2.5226 fully paid, validly issued, and non-assessable shares of Common Stock per share of Series C Preferred Stock.

F5 · derivative.underlying_shares: In connection with the Merger, the Issuer entered into a Preferred Stock Repurchase Agreement, dated as of March 14, 2019, with CCP, CCP2, and the Separate Account, pursuant to which the Issuer repurchased from CCP, CCP2 and the Separate Account all 614,177 of the issued and outstanding Issuer's Series C Convertible Preferred Stock, par value $0.0001 per share (the "Series C Preferred Stock"), for (i) a cash payment of $121,621,792.90, which is equal to 120% of the liquidation preference (as defined in the Certificate of Designations of Series C Preferred Stock) per share of Series C Preferred Stock, determined as of the date of the repurchase closing (including any dividends accrued through such date), which liquidation preference value was $165.020, and (ii) 1,549,321 shares of Common Stock, which is equal to 2.5226 fully paid, validly issued, and non-assessable shares of Common Stock per share of Series C Preferred Stock.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
Disposition to issuerSeries A Preferred Stock · Derivative 10,823 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · derivative · entry 5

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 0

Underlying: Common Stock · 27,300 shares

Expires 2019-08-06

F1 · derivative.exercise_price: Pursuant to the Issuer's amendment to the Certificate of Designations of Series A Convertible Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), immediately following the effectiveness of the Issuer's merger transaction with HC Group Holdings I, LLC, a Delaware limited liability company, and HC Group Holdings II, Inc., a Delaware corporation, which merger transaction became effect on August 6, 2019 (the "Merger"), (i) four one-hundredths (4/100) of each share of the 10,823 shares of Series A Preferred Stock held by Coliseum Capital Partners, L.P. ("CCP"), Coliseum Capital Partners II, L.P. ("CCP2" and, together with CCP, the "Funds"), and a separate account investment advisory client (the "Separate Account") of Coliseum Capital Management, LLC ("CCM") converted into 2.5226 shares of the Issuer's common stock, $0.0001 par value per share ("Common Stock"),

F2 · derivative.exercise_price: (Continued from footnote 1) resulting in an aggregate of 27,300 shares of Common Stock being issued to the Funds and the Separate Account, and (ii) the remaining portion of each share of the 10,823 shares of Series A Preferred Stock held by CCP, CCP2 and the Separate Account (constituting ninety-six one-hundredths (96/100) of each such share) was redeemed for an aggregate cash payment of $2,143,221.10, which is equal to 120% of the liquidation preference of such share of Series A Preferred Stock as of the redemption date (including any dividends accrued through such date), which liquidation preference was $165.020.

F1 · price: Pursuant to the Issuer's amendment to the Certificate of Designations of Series A Convertible Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), immediately following the effectiveness of the Issuer's merger transaction with HC Group Holdings I, LLC, a Delaware limited liability company, and HC Group Holdings II, Inc., a Delaware corporation, which merger transaction became effect on August 6, 2019 (the "Merger"), (i) four one-hundredths (4/100) of each share of the 10,823 shares of Series A Preferred Stock held by Coliseum Capital Partners, L.P. ("CCP"), Coliseum Capital Partners II, L.P. ("CCP2" and, together with CCP, the "Funds"), and a separate account investment advisory client (the "Separate Account") of Coliseum Capital Management, LLC ("CCM") converted into 2.5226 shares of the Issuer's common stock, $0.0001 par value per share ("Common Stock"),

F2 · price: (Continued from footnote 1) resulting in an aggregate of 27,300 shares of Common Stock being issued to the Funds and the Separate Account, and (ii) the remaining portion of each share of the 10,823 shares of Series A Preferred Stock held by CCP, CCP2 and the Separate Account (constituting ninety-six one-hundredths (96/100) of each such share) was redeemed for an aggregate cash payment of $2,143,221.10, which is equal to 120% of the liquidation preference of such share of Series A Preferred Stock as of the redemption date (including any dividends accrued through such date), which liquidation preference was $165.020.

F1 · derivative.underlying_shares: Pursuant to the Issuer's amendment to the Certificate of Designations of Series A Convertible Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), immediately following the effectiveness of the Issuer's merger transaction with HC Group Holdings I, LLC, a Delaware limited liability company, and HC Group Holdings II, Inc., a Delaware corporation, which merger transaction became effect on August 6, 2019 (the "Merger"), (i) four one-hundredths (4/100) of each share of the 10,823 shares of Series A Preferred Stock held by Coliseum Capital Partners, L.P. ("CCP"), Coliseum Capital Partners II, L.P. ("CCP2" and, together with CCP, the "Funds"), and a separate account investment advisory client (the "Separate Account") of Coliseum Capital Management, LLC ("CCM") converted into 2.5226 shares of the Issuer's common stock, $0.0001 par value per share ("Common Stock"),

F2 · derivative.underlying_shares: (Continued from footnote 1) resulting in an aggregate of 27,300 shares of Common Stock being issued to the Funds and the Separate Account, and (ii) the remaining portion of each share of the 10,823 shares of Series A Preferred Stock held by CCP, CCP2 and the Separate Account (constituting ninety-six one-hundredths (96/100) of each such share) was redeemed for an aggregate cash payment of $2,143,221.10, which is equal to 120% of the liquidation preference of such share of Series A Preferred Stock as of the redemption date (including any dividends accrued through such date), which liquidation preference was $165.020.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
Disposition to issuerCommon Stock 18,905 $2.67 $50,476.35
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · nonDerivative · entry 4

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,465,612

F7 · price: The Cash-Settled RSUs vested upon the consummation of the Merger, on which date the fair market value of a share of Common Stock was equal to $2.67, which was the closing market price of the Common Stock on August 6, 2019.

F3 · ownership.nature: The Common Stock is held directly by (a) CCP, a Delaware investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which CCM, a Delaware limited liability company, serves as investment adviser, (b) CCP2, a Delaware investment limited partnership of which CC is general partner and for which CCM serves as investment adviser, and (c) the Separate Account.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
Exercise / conversionCommon Stock 18,905 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · nonDerivative · entry 3

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,484,517

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F6 · price: Each cash-settled restricted stock unit ("Cash-Settled RSU") is the economic equivalent of one share of Common Stock. Each vested Cash-Settled RSU is entitled to a cash payment equal to the fair market value of one share of the Common Stock as of the vesting date based on the closing market price of the Common Stock on such date, or if no such closing market price is available on such date, for the immediately preceding business day. The cash settlement of the Cash-Settled RSUs is reported for purposes of Form 4 as the disposition of the Cash-Settled RSU and a simultaneous acquisition and disposition of the underlying Common Stock.

F3 · ownership.nature: The Common Stock is held directly by (a) CCP, a Delaware investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which CCM, a Delaware limited liability company, serves as investment adviser, (b) CCP2, a Delaware investment limited partnership of which CC is general partner and for which CCM serves as investment adviser, and (c) the Separate Account.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
GrantCommon Stock 1,549,321 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · nonDerivative · entry 2

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,465,612

F5 · price: In connection with the Merger, the Issuer entered into a Preferred Stock Repurchase Agreement, dated as of March 14, 2019, with CCP, CCP2, and the Separate Account, pursuant to which the Issuer repurchased from CCP, CCP2 and the Separate Account all 614,177 of the issued and outstanding Issuer's Series C Convertible Preferred Stock, par value $0.0001 per share (the "Series C Preferred Stock"), for (i) a cash payment of $121,621,792.90, which is equal to 120% of the liquidation preference (as defined in the Certificate of Designations of Series C Preferred Stock) per share of Series C Preferred Stock, determined as of the date of the repurchase closing (including any dividends accrued through such date), which liquidation preference value was $165.020, and (ii) 1,549,321 shares of Common Stock, which is equal to 2.5226 fully paid, validly issued, and non-assessable shares of Common Stock per share of Series C Preferred Stock.

F3 · ownership.nature: The Common Stock is held directly by (a) CCP, a Delaware investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which CCM, a Delaware limited liability company, serves as investment adviser, (b) CCP2, a Delaware investment limited partnership of which CC is general partner and for which CCM serves as investment adviser, and (c) the Separate Account.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

Read SEC document
August 06, 2019 Filed Aug 8, 2019 20:51 UTC
Coliseum Capital Management, LLCFormer Director & 10% Owner
Shackelton Christopher SFormer Director & 10% Owner
Coliseum Capital, LLCFormer Director & 10% Owner
COLISEUM CAPITAL PARTNERS, L.P.Former Director & 10% Owner
Coliseum Capital Partners II, L.P.Former Director & 10% Owner
Gray AdamFormer Director & 10% Owner
GrantCommon Stock 27,300 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-19-021368 · doc4.xml · nonDerivative · entry 1

Coliseum Capital Management, LLC · CIK 0001409751 · Former Director & 10% Owner

Shackelton Christopher S · CIK 0001430708 · Former Director & 10% Owner

Coliseum Capital, LLC · CIK 0001409585 · Former Director & 10% Owner

COLISEUM CAPITAL PARTNERS, L.P. · CIK 0001356974 · Former Director & 10% Owner

Coliseum Capital Partners II, L.P. · CIK 0001567187 · Former Director & 10% Owner

Gray Adam · CIK 0001454123 · Former Director & 10% Owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 1,916,291

F1 · price: Pursuant to the Issuer's amendment to the Certificate of Designations of Series A Convertible Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), immediately following the effectiveness of the Issuer's merger transaction with HC Group Holdings I, LLC, a Delaware limited liability company, and HC Group Holdings II, Inc., a Delaware corporation, which merger transaction became effect on August 6, 2019 (the "Merger"), (i) four one-hundredths (4/100) of each share of the 10,823 shares of Series A Preferred Stock held by Coliseum Capital Partners, L.P. ("CCP"), Coliseum Capital Partners II, L.P. ("CCP2" and, together with CCP, the "Funds"), and a separate account investment advisory client (the "Separate Account") of Coliseum Capital Management, LLC ("CCM") converted into 2.5226 shares of the Issuer's common stock, $0.0001 par value per share ("Common Stock"),

F2 · price: (Continued from footnote 1) resulting in an aggregate of 27,300 shares of Common Stock being issued to the Funds and the Separate Account, and (ii) the remaining portion of each share of the 10,823 shares of Series A Preferred Stock held by CCP, CCP2 and the Separate Account (constituting ninety-six one-hundredths (96/100) of each such share) was redeemed for an aggregate cash payment of $2,143,221.10, which is equal to 120% of the liquidation preference of such share of Series A Preferred Stock as of the redemption date (including any dividends accrued through such date), which liquidation preference was $165.020.

F3 · ownership.nature: The Common Stock is held directly by (a) CCP, a Delaware investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which CCM, a Delaware limited liability company, serves as investment adviser, (b) CCP2, a Delaware investment limited partnership of which CC is general partner and for which CCM serves as investment adviser, and (c) the Separate Account.

F4 · ownership.nature: Christopher Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC, and may be deemed to have an indirect pecuniary interest in the shares held by the Funds and the Separate Account due to CCM's right to receive performance-related fees from the Separate Account and CC's right to receive performance-related fees from the Funds. Each of Shackelton, Gray, CCP, CCP2, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.