Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Astrana Health, Inc.ASTH · Entity 4538 | Director · Executive Chairman | April 06, 2026 | April 08, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Astrana Health, Inc.
Report date April 06, 2026 · Filed April 08, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 739,407 |
Reported balance
After 2026-04-06 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-04-06 · Grant · Acquired 100,000 · Balance 739,407 F5: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer and/or its affiliates on the date of vesting, the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026. F6: Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer and/or its affiliates): (i) 78,334 shares, which will vest in two equal annual installments beginning on March 5, 2027; and (ii) 66,667 shares, which will vest in two equal annual installments beginning on April 1, 2027. Also includes 100,000 restricted stock units, which will vest in eight equal semi-annual installments beginning on October 6, 2026 (subject to continuous employment with the Issuer and/or its affiliates). |
| Common StockSEC Table I · non-derivative | IndirectBy Allied Physicians of California, a Professional Medical Corporation | 6,132,802 |
Reported balance
Holding disclosure · report date 2026-04-06 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,132,802 F1: These securities are beneficially owned by Allied Physicians of California, a Professional Medical Corporation, of which the Reporting Person is the Chairman and a director and stockholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Kenneth T & Simone S Sim Family Trust | 546,349 |
Reported balance
Holding disclosure · report date 2026-04-06 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 546,349 F4: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy Kenneth T. Sim Pension Plan Trust | 42,996 |
Reported balance
Holding disclosure · report date 2026-04-06 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 42,996 F2: These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. |
| Common StockSEC Table I · non-derivative | IndirectBy grantor retained annuity trust | 230,688 |
Reported balance
Holding disclosure · report date 2026-04-06 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 230,688 F3: These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person and his children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are beneficially owned by Allied Physicians of California, a Professional Medical Corporation, of which the Reporting Person is the Chairman and a director and stockholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F2: These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F3: These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person and his children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
F4: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F5: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer and/or its affiliates on the date of vesting, the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026.
F6: Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer and/or its affiliates): (i) 78,334 shares, which will vest in two equal annual installments beginning on March 5, 2027; and (ii) 66,667 shares, which will vest in two equal annual installments beginning on April 1, 2027. Also includes 100,000 restricted stock units, which will vest in eight equal semi-annual installments beginning on October 6, 2026 (subject to continuous employment with the Issuer and/or its affiliates).
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 06, 2026 Filed Apr 8, 2026 20:42 UTC | Astrana Health, Inc. ASTH · Entity 4538 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-26-040952 · tm2611344-2_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 739,407 F5 · shares: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer and/or its affiliates on the date of vesting, the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026. F6 · balance_after: Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer and/or its affiliates): (i) 78,334 shares, which will vest in two equal annual installments beginning on March 5, 2027; and (ii) 66,667 shares, which will vest in two equal annual installments beginning on April 1, 2027. Also includes 100,000 restricted stock units, which will vest in eight equal semi-annual installments beginning on October 6, 2026 (subject to continuous employment with the Issuer and/or its affiliates). Read SEC document |
| November 10, 2025 Filed Nov 13, 2025 21:15 UTC | Astrana Health, Inc. ASTH · Entity 4538 | Exercise / conversionStock Option (right to buy) · Derivative | 29,502 | $0.00 Strike: $17.78 | $0.00 |
DisclosureSEC source: 0001104659-25-111328 · tm2531125-1_4seq1.xml · derivative · entry 6 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,502 shares Expires 2025-12-10 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. F5 · derivative.exercise_date: These stock options were fully vested and exercisable. Read SEC document |
| November 10, 2025 Filed Nov 13, 2025 21:15 UTC | Astrana Health, Inc. ASTH · Entity 4538 | Exercise / conversionCommon Stock | 29,502 | $17.78 | $524,545.56 |
DisclosureSEC source: 0001104659-25-111328 · tm2531125-1_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 639,407 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 · balance_after: Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 117,501 shares, which will vest in three equal annual installments beginning on March 5, 2026; and (ii) 133,333 shares, which will vest upon achievement of certain pre-established performance goals. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 02:52 UTC | Astrana Health, Inc. ASTH · Entity 4538 | OtherCommon Stock | 26,232 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-014916 · tm253769-3_4seq1.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 546,349 F6 · kind: Represents the receipt of shares of the Issuer's common stock pursuant to the pro rata distribution for no consideration by APC, of which the Reporting Person is a stockholder. F4 · ownership.nature: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 02:52 UTC | Astrana Health, Inc. ASTH · Entity 4538 | OtherCommon Stock | 699,896 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-25-014916 · tm253769-3_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Indirect · By Allied Physicians of California, a Professional Medical Corporation Disclosed balance after: 6,132,802 F5 · kind: APC distributed these shares of the Issuer's common stock to its stockholders, pursuant to a pro rata distribution for no consideration. Includes 17,839 shares in the aggregate held for the benefit of disqualified shareholders of APC. F5 · shares: APC distributed these shares of the Issuer's common stock to its stockholders, pursuant to a pro rata distribution for no consideration. Includes 17,839 shares in the aggregate held for the benefit of disqualified shareholders of APC. F1 · ownership.nature: These securities are beneficially owned by Allied Physicians of California, a Professional Medical Corporation ("APC"), of which the Reporting Person is the Chairman and a director and stockholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 23, 2025 00:46 UTC | Astrana Health, Inc. ASTH · Entity 4538 | Disposition to issuerCommon Stock | 300,000 | $35.17 | $10,551,000.00 |
DisclosureSEC source: 0001104659-25-005342 · tm253769-4_4seq1.xml · nonDerivative · entry 1 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSIONAL MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,832,698 F2 · kind: On January 17, 2025, the issuer entered into a stock repurchase agreement with APC, pursuant to which the issuer agreed to repurchase 300,000 shares of the issuer's common stock from APC. The agreement closed, and the issuer completed the stock repurchase, on the same day. The issuer's Board of Directors and the Audit Committee of the Board of Directors approved the repurchase. F1 · ownership.direct: Allied Physicians of California, a Professional Medical Corporation ("APC"), is a consolidated affiliate of the issuer of which Dr. Kenneth Sim, the issuer's Executive Chairman of the Board of Directors, is Chairman and a director and stockholder, and Dr. Thomas Lam, the issuer's Vice Chairman of the Board of Directors, is the Chief Executive Officer and Chief Financial Officer and a director and stockholder. Each of Dr. Sim and Dr. Lam disclaims beneficial ownership of the securities held by APC except to the extent of his pecuniary interest therein. Each of Dr. Sim and Dr. Lam holds, directly and/or indirectly, additional securities of the issuer. Read SEC document |
| November 18, 2024 Filed Nov 20, 2024 21:15 UTC | Astrana Health, Inc. ASTH · Entity 4538 | Exercise / conversionStock option (right to buy) · Derivative | 28,046 | $0.00 Strike: $18.65 | $0.00 |
DisclosureSEC source: 0001104659-24-121024 · tm2428618-1_4seq1.xml · derivative · entry 6 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,046 shares Expires 2024-12-30 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. F5 · derivative.exercise_date: These stock options were fully vested and exercisable. Read SEC document |
| November 18, 2024 Filed Nov 20, 2024 21:15 UTC | Astrana Health, Inc. ASTH · Entity 4538 | Exercise / conversionCommon Stock | 28,046 | $18.65 | $523,057.90 |
DisclosureSEC source: 0001104659-24-121024 · tm2428618-1_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 609,905 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 · balance_after: Includes 290,000 shares of restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 96,667 shares, which will vest in four equal annual installments beginning in the first quarter of 2025; and (ii) grants of 30,000 shares, 30,000 shares and 133,333 shares, each of which will vest upon achievement of certain pre-established performance goals. Read SEC document |
| November 08, 2024 Filed Nov 12, 2024 21:35 UTC | Astrana Health, Inc. ASTH · Entity 4538 | GrantCommon Stock | 133,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-116853 · tm2428142-1_4seq1.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 581,859 F6 · shares: Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2024 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, and subject to the achievement of a pre-established performance goal, the shares of restricted stock shall, based on the date the performance goal is achieved, vest either (i) in four equal annual installments, beginning on a date during the first quarter of 2025 to be determined by the compensation committee of the Issuer's board of directors or (ii) three annual installments of 50%, 25% and 25%, respectively, beginning on a date during the first quarter of 2026 to be determined by the compensation committee. F7 · balance_after: Includes 290,000 shares of restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 96,667 shares, which will vest in four equal annual installments beginning in the first quarter of 2025; and (ii) grants of 30,000 shares, 30,000 shares and 133,333 shares, each of which will vest upon achievement of certain pre-established performance goals. Read SEC document |
| November 08, 2024 Filed Nov 12, 2024 21:35 UTC | Astrana Health, Inc. ASTH · Entity 4538 | GrantCommon Stock | 66,667 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-24-116853 · tm2428142-1_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 448,526 F5 · shares: Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2024 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares of restricted stock shall vest in four equal annual installments beginning on a date during the first quarter of 2025 to be determined by the compensation committee of the Issuer's board of directors. Read SEC document |
| December 15, 2023 Filed Dec 18, 2023 21:33 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-126897 · tm2333076-3_4seq1.xml · nonDerivative · entry 3 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 381,859 F7 · shares: Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, and subject to the achievement of a pre-established performance goal, the shares of restricted stock shall, based on the date the performance goal is achieved, vest either (i) in four equal annual installments, beginning on a date during the first quarter of 2025 to be determined by the compensation committee of the Issuer's board of directors or (ii) three annual installments of 15,000, 7,500 and 7,500, respectively, beginning on a date during the first quarter of 2026 to be determined by the compensation committee. F8 · balance_after: Includes 111,748 shares of restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 21,748 shares, which vest on November 2, 2024; (ii) 30,000 shares, which vest in four equal annual installments beginning in the first quarter of 2025; (iii) 30,000 shares, which will vest upon achievement of certain pre-established performance goals; and (iv) 30,000 shares, which will vest upon achievement of certain pre-established performance goals. Read SEC document |
| December 15, 2023 Filed Dec 18, 2023 21:33 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-126897 · tm2333076-3_4seq1.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 351,859 F6 · shares: Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, and subject to the achievement of a pre-established performance goal, the shares of restricted stock shall vest in four equal annual installments, beginning on a date during the first quarter of 2025 to be determined by the compensation committee of the Issuer's board of directors. Read SEC document |
| December 15, 2023 Filed Dec 18, 2023 21:33 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-23-126897 · tm2333076-3_4seq1.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 321,859 F5 · shares: Restricted shares of the Issuer's common stock granted pursuant to the Issuer's 2015 Equity Incentive Plan. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares of restricted stock shall vest in four equal annual installments beginning on a date during the first quarter of 2025 to be determined by the compensation committee of the Issuer's board of directors. Read SEC document |
| November 14, 2023 Filed Nov 16, 2023 21:31 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Disposition to issuerCommon Stock | 3,166,561 | $31.58 | $99,999,996.38 |
DisclosureSEC source: 0001104659-23-119144 · tm2330683-1_4seq1.xml · nonDerivative · entry 1 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSION MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director · Co-CEO and President Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Young Albert WaiChow · CIK 0001725420 · Chief Administrative Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,132,698 F2 · kind: On November 6, 2023, the issuer entered into a stock repurchase agreement with APC, pursuant to which the issuer agreed to repurchase approximately $100 million of the issuer's common stock from APC. Pursuant to such agreement, on November 14, 2023, the issuer repurchased 3,166,561 shares of common stock from APC. The issuer's Board of Directors and the Audit Committee of the Board of Directors approved the repurchase. F1 · ownership.direct: Allied Physicians of California, a Professional Medical Corporation ("APC") is a consolidated affiliate of the issuer of which Dr. Thomas Lam, the issuer's Co-Chief Executive Officer and President and a director, is the Chief Executive Officer and Chief Financial Officer and a director and stockholder; Dr. Kenneth Sim, the issuer's Executive Chairman, is Chairman and a director and stockholder; and Dr. Albert Young, the issuer's Chief Administrative Officer, is Senior Executive Vice President and a director and stockholder. Each of Dr. Lam, Dr. Sim and Dr. Young disclaims beneficial ownership of the securities held by APC except to the extent of his pecuniary interest therein. Each of Dr. Lam, Dr. Sim and Dr. Young holds, directly and/or indirectly, additional securities of the issuer. Read SEC document |
| December 08, 2022 Filed Dec 12, 2022 23:50 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrants to purchase Common Stock · Derivative | 48,587.12 | Not disclosed Strike: $11.00 | Not disclosed |
DisclosureSEC source: 0001250853-22-000121 · primary_doc.xml · derivative · entry 8 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 48,587.12 shares Expires 2022-12-08 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. F5 · price: On December 8, 2017, a reverse merger transaction between the Issuer and Network Medical Management, Inc. ("NMM") was consummated such that NMM became a wholly-owned subsidiary of the Issuer (the "Merger). Immediately prior to the closing of the Merger, the Reporting Person was a shareholder of NMM. Pursuant to the Merger, the shares of NMM common stock previously held by Reporting Person were converted into (i) 1,563,804 shares of common stock of the Issuer, (ii) a warrant to purchase 48,587.12 shares of common stock of the Issuer at an exercise price of $11.00 per share, (iii) a warrant to purchase 51,445.18 shares of common stock of the Issuer at an exercise price of $10.00 per share, (iv) cash in lieu of fractional shares, and (v) the Reporting Person's pro rata portion, if any, of the holdback shares of common stock of the Issuer (such pro rata portion of the holdback shares would, without offset, initially be equal to 173,756.04 shares of common stock of the Issuer). Read SEC document |
| December 08, 2022 Filed Dec 12, 2022 23:50 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrants to purchase Common Stock · Derivative | 51,445.18 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0001250853-22-000121 · primary_doc.xml · derivative · entry 7 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 51,445.18 shares Expires 2022-12-08 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. F5 · price: On December 8, 2017, a reverse merger transaction between the Issuer and Network Medical Management, Inc. ("NMM") was consummated such that NMM became a wholly-owned subsidiary of the Issuer (the "Merger). Immediately prior to the closing of the Merger, the Reporting Person was a shareholder of NMM. Pursuant to the Merger, the shares of NMM common stock previously held by Reporting Person were converted into (i) 1,563,804 shares of common stock of the Issuer, (ii) a warrant to purchase 48,587.12 shares of common stock of the Issuer at an exercise price of $11.00 per share, (iii) a warrant to purchase 51,445.18 shares of common stock of the Issuer at an exercise price of $10.00 per share, (iv) cash in lieu of fractional shares, and (v) the Reporting Person's pro rata portion, if any, of the holdback shares of common stock of the Issuer (such pro rata portion of the holdback shares would, without offset, initially be equal to 173,756.04 shares of common stock of the Issuer). Read SEC document |
| December 08, 2022 Filed Dec 12, 2022 23:50 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 48,587 | $11.00 | $534,457.00 |
DisclosureSEC source: 0001250853-22-000121 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,859 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 |
| December 08, 2022 Filed Dec 12, 2022 23:50 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 51,445 | $10.00 | $514,450.00 |
DisclosureSEC source: 0001250853-22-000121 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,272 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 |
| December 07, 2022 Filed Dec 9, 2022 23:43 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrants to purchase Common Stock · Derivative | 52,262.84 | Not disclosed Strike: $11.00 | Not disclosed |
DisclosureSEC source: 0001250853-22-000120 · primary_doc.xml · derivative · entry 4 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSION MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director · President and Co-CEO Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Young Albert WaiChow · CIK 0001725420 · Chief Administrative Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 52,262.84 shares Expires 2022-12-08 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 · price: On December 8, 2017, a reverse merger transaction between the Issuer and Network Medical Management, Inc. ("NMM") was consummated such that NMM became a wholly-owned subsidiary of the Issuer (the "Merger). Immediately prior to the closing of the Merger, the Reporting Person was a shareholder of NMM. Pursuant to the Merger, the shares of NMM common stock previously held by Reporting Person were converted into certain securities of the Issuer and other consideration, including (i) a warrant to purchase 55,337.13 shares of common stock of the Issuer at an exercise price of $10.00 per share and (ii) a warrant to purchase 52,262.84 shares of common stock of the Issuer at an exercise price of $11.00 per share. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 23:43 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrants to purchase Common Stock · Derivative | 55,337.13 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0001250853-22-000120 · primary_doc.xml · derivative · entry 3 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSION MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director · President and Co-CEO Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Young Albert WaiChow · CIK 0001725420 · Chief Administrative Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,337.13 shares Expires 2022-12-08 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 · price: On December 8, 2017, a reverse merger transaction between the Issuer and Network Medical Management, Inc. ("NMM") was consummated such that NMM became a wholly-owned subsidiary of the Issuer (the "Merger). Immediately prior to the closing of the Merger, the Reporting Person was a shareholder of NMM. Pursuant to the Merger, the shares of NMM common stock previously held by Reporting Person were converted into certain securities of the Issuer and other consideration, including (i) a warrant to purchase 55,337.13 shares of common stock of the Issuer at an exercise price of $10.00 per share and (ii) a warrant to purchase 52,262.84 shares of common stock of the Issuer at an exercise price of $11.00 per share. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 23:43 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 52,262 | $11.00 | $574,882.00 |
DisclosureSEC source: 0001250853-22-000120 · primary_doc.xml · nonDerivative · entry 2 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSION MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director · President and Co-CEO Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Young Albert WaiChow · CIK 0001725420 · Chief Administrative Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,299,259 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: These shares are owned directly by the Reporting Person, and indirectly by Kenneth Sim, Thomas Lam, and Albert Young, each of whom is a director, officer and shareholder of the Reporting Person. Read SEC document |
| December 07, 2022 Filed Dec 9, 2022 23:43 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 55,337 | $10.00 | $553,370.00 |
DisclosureSEC source: 0001250853-22-000120 · primary_doc.xml · nonDerivative · entry 1 ALLIED PHYSICIANS OF CALIFORNIA, A PROFESSION MEDICAL Corp · CIK 0001725602 · 10% owner Lam Thomas S. · CIK 0001664499 · Director · President and Co-CEO Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman Young Albert WaiChow · CIK 0001725420 · Chief Administrative Officer Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,246,997 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: These shares are owned directly by the Reporting Person, and indirectly by Kenneth Sim, Thomas Lam, and Albert Young, each of whom is a director, officer and shareholder of the Reporting Person. Read SEC document |
| December 02, 2022 Filed Dec 7, 2022 02:29 UTC | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 37,439 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-22-000114 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 520,117 F3 · kind: Represents the receipt of shares of the issuer pursuant to a pro rata in-kind distribution by Allied, of which the Reporting Person is a director, officer and shareholder. Read SEC document |
| December 02, 2022 Filed Dec 7, 2022 02:29 UTC | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 984,042 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-22-000114 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Allied Physicians of California, A Professional Medical Corporation Disclosed balance after: 10,191,660 F1 · kind: Allied Physicians of California, A Profession Medical Corporation (Allied), of which the Reporting Person is a director, officer and shareholder, distributed these shares as an in-kind dividend to its shareholders. F2 · balance_after: These securities are beneficially owned by Allied, of which the Reporting Person is a director, officer and shareholder. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 27, 2022 Filed Dec 2, 2022 23:41 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GiftCommon Stock | 392,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-22-000097 · primary_doc.xml · nonDerivative · entry 3 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 0 F3 · balance_after: On September 17, 2020, the spouse of the Reporting Person contributed 564,706 shares of AMEH common stock to a grantor retained annuity trust (the SS GRAT) for the benefit of herself and her children. On September 27, 2021 45,838 shares were distributed from the SS GRAT to the Family Trust in satisfaction of an annuity obligation. On September 22, 2022, 126,051 shares were distributed from the SS GRAT to the Family Trust in satisfaction of an annuity obligation. Upon termination of the trust on September 27, 2022, the remaining 392,816 shares were transferred to the children of the Reporting Person. The 171,889 shares previously distributed to the Family Trust will continue to be reported as indirectly owned by the Reporting Person. Read SEC document |
| September 27, 2022 Filed Dec 2, 2022 23:41 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GiftCommon Stock | 392,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-22-000097 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By grantor retained annuity trust Disclosed balance after: 0 F2 · balance_after: On September 17, 2020, the Reporting Person contributed 564,706 shares of AMEH common stock to a grantor retained annuity trust (the KS GRAT) for the benefit of himself and his children. On September 27, 2021 45,838 shares were distributed from the KS GRAT to the Family Trust in satisfaction of an annuity obligation. On September 22, 2022, 126,051 shares were distributed from the KS GRAT to the Family Trust in satisfaction of an annuity obligation. Upon termination of the trust on September 27, 2022, the remaining 392,816 shares were transferred to the children of the Reporting Person. The 171,889 shares previously distributed to the Family Trust will continue to be reported as indirectly owned by the Reporting Person. Read SEC document |
| February 25, 2022 Filed Dec 2, 2022 23:41 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GiftCommon Stock | 258,824 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-22-000097 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 230,576 F1 · balance_after: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013 (the Family Trust). The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| November 04, 2021 Filed Dec 30, 2021 23:49 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GiftCommon Stock | 230,688 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-21-000117 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 397,724 F1 · kind: On November 4, 2021, the Kenneth T & Simone S Sim Family Trust gifted 230,688 shares of AMEH common stock to a grantor retained annuity trust for the benefit of the Reporting Person's wife, who shares his household, and his children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. F2 · balance_after: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. F5 · balance_after: On November 4, 2021, the Kenneth T & Simone S Sim Family Trust contributed 230,688 shares of AMEH common stock to a grantor retained annuity trust for the benefit of the Reporting Person and his children. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 00:16 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantStock Option (right to buy) · Derivative | 29,502 | $0.00 Strike: $71.45 | $0.00 |
DisclosureSEC source: 0001628280-21-021865 · wf-form4_163607138351398.xml · derivative · entry 7 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,502 Underlying: Common Stock · 29,502 shares Expires 2026-11-02 F6 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the option shall vest in three equal annual installments commencing on the first anniversary of November 2, 2021. Read SEC document |
| November 02, 2021 Filed Nov 5, 2021 00:16 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 65,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-021865 · wf-form4_163607138351398.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,827 Read SEC document |
| March 30, 2021 Filed Apr 2, 2021 00:57 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrant to Purchase Common Stock · Derivative | 31,756 | $0.00 Strike: $10.00 | $0.00 |
DisclosureSEC source: 0001250853-21-000045 · primary_doc.xml · derivative · entry 7 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the Kenneth T & Simone S Sim Family Trust Disclosed balance after: 0 Underlying: Common Stock · 31,756 shares Expires 2021-03-30 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 |
| March 30, 2021 Filed Apr 2, 2021 00:57 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 31,756 | $10.00 | $317,560.00 |
DisclosureSEC source: 0001250853-21-000045 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the Kenneth T & Simone S Sim Family Trust Disclosed balance after: 859,101 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: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| March 30, 2021 Filed May 6, 2021 23:19 UTC Amendment | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 31,756 | $10.00 | $317,560.00 |
DisclosureSEC source: 0001104659-21-062592 · tm2115516d2_4a.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the Kenneth T & Simone S Sim Family Trust Disclosed balance after: 859,100 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 · balance_after: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 22, 2020 Filed May 6, 2021 23:19 UTC Amendment | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 185,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-21-062592 · tm2115516d2_4a.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By the Kenneth T & Simone S Sim Family Trust Disclosed balance after: 827,344 F1 · kind: Represents the receipt of shares of the issuer pursuant to a pro rata in-kind distribution by Allied Physicians of California, A Profession Medical Corporation ("Allied") of which the Reporting Person is a director, officer and shareholder. F1 · shares: Represents the receipt of shares of the issuer pursuant to a pro rata in-kind distribution by Allied Physicians of California, A Profession Medical Corporation ("Allied") of which the Reporting Person is a director, officer and shareholder. F1 · acquired: Represents the receipt of shares of the issuer pursuant to a pro rata in-kind distribution by Allied Physicians of California, A Profession Medical Corporation ("Allied") of which the Reporting Person is a director, officer and shareholder. F2 · balance_after: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 17:34 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantStock Option (right to buy) · Derivative | 29,502 | $0.00 Strike: $17.78 | $0.00 |
DisclosureSEC source: 0001250853-20-000111 · primary_doc.xml · derivative · entry 7 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,502 Underlying: Common Stock · 29,502 shares Expires 2025-12-10 F6 · derivative.exercise_date: The option vests in three equal annual installments commencing on November 11, 2020. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 17:34 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 65,242 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-20-000111 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,585 Read SEC document |
| September 14, 2020 Filed Sep 16, 2020 01:47 UTC | Astrana Health, Inc. AMEH · Entity 4538 | PurchaseCommon Stock | 1,000 | $17.20 | $17,204.00 |
DisclosureSEC source: 0001250853-20-000078 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By son Disclosed balance after: 17,379 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.20 to $17.21, inclusive. The Reporting Person undertakes to provide to Apollo Medical Holdings, Inc., any security holder of Apollo Medical Holdings, 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 range set forth in footnote (3) to this Form 4. F4 · balance_after: These securities are beneficially owned by Brandon Sim, the Issuer's Chief Technology Officer, interim Co-Chief Operating Officer and Vice President of Engineering, who is the Reporting Person's son and shares the Reporting Person's household. The Reporting Person disclaims any beneficial ownership of these securities. Read SEC document |
| September 14, 2020 Filed Sep 16, 2020 01:47 UTC | Astrana Health, Inc. AMEH · Entity 4538 | PurchaseCommon Stock | 5,000 | $17.23 | $86,168.00 |
DisclosureSEC source: 0001250853-20-000078 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T. Sim Pension Plan Trust Disclosed balance after: 42,996 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $17.19 to $17.29, inclusive. The Reporting Person undertakes to provide to Apollo Medical Holdings, Inc., any security holder of Apollo Medical Holdings, 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 range set forth in footnote (1) to this Form 4. F2 · balance_after: These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 10, 2020 Filed Sep 15, 2020 00:55 UTC Amendment | Astrana Health, Inc. AMEH · Entity 4538 | PurchaseCommon Stock | 5,000 | $17.60 | $88,000.00 |
DisclosureSEC source: 0001250853-20-000074 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T. Sim Pension Plan Trust Disclosed balance after: 37,996 F1 · date: The purpose of this amendment is solely to correct a typographical error relating to the transaction date in Table I, Box 2 of the Reporting Person's Form 4. This corrected Form 4 reflects the correct date of September 10, 2020 in Table 1, Box 2 (Transaction Date). Read SEC document |
| September 09, 2020 Filed Sep 11, 2020 01:10 UTC | Astrana Health, Inc. AMEH · Entity 4538 | PurchaseCommon Stock | 5,000 | $17.60 | $88,000.00 |
DisclosureSEC source: 0001250853-20-000067 · primary_doc.xml · nonDerivative · entry 3 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T. Sim Pension Plan Trust Disclosed balance after: 37,996 F2 · ownership.nature: These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 09, 2020 Filed Sep 12, 2020 00:14 UTC | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 564,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-20-000071 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By wife Disclosed balance after: 564,706 F1 · kind: On September 9, 2020, the Reporting Person and his spouse entered into a transmutation agreement pursuant to which the Reporting Person and his spouse agreed that 564,706 shares of Apollo Medical Holdings Inc. common stock owned by the Reporting Person and his spouse as community property would be deemed to be the separate property of his spouse and 564,706 shares of Apollo Medical Holdings Inc. common stock owned by the Reporting Person and his spouse as community property would be deemed to be the separate property of the Reporting Person. F3 · ownership.nature: These securities are beneficially owned by the Reporting Person's spouse as separate property pursuant to the transmutation agreement referred to in footnote one. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 09, 2020 Filed Sep 12, 2020 00:14 UTC | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 564,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001250853-20-000071 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 641,407 F1 · kind: On September 9, 2020, the Reporting Person and his spouse entered into a transmutation agreement pursuant to which the Reporting Person and his spouse agreed that 564,706 shares of Apollo Medical Holdings Inc. common stock owned by the Reporting Person and his spouse as community property would be deemed to be the separate property of his spouse and 564,706 shares of Apollo Medical Holdings Inc. common stock owned by the Reporting Person and his spouse as community property would be deemed to be the separate property of the Reporting Person. F2 · ownership.nature: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 08, 2020 Filed Sep 11, 2020 01:10 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionWarrants to Purchase Common Stock · Derivative | 63,512 | $0.00 Strike: $9.00 | $0.00 |
DisclosureSEC source: 0001250853-20-000067 · primary_doc.xml · derivative · entry 7 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 0 Underlying: Common Stock · 63,512 shares Expires 2020-10-14 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 · ownership.nature: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 08, 2020 Filed Sep 11, 2020 01:10 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Tax withholdingCommon Stock | 30,253 | $18.89 | $571,479.17 |
DisclosureSEC source: 0001250853-20-000067 · primary_doc.xml · nonDerivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 1,770,819 F1 · ownership.nature: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| September 08, 2020 Filed Sep 11, 2020 01:10 UTC | Astrana Health, Inc. AMEH · Entity 4538 | Exercise / conversionCommon Stock | 63,512 | $9.00 | $571,608.00 |
DisclosureSEC source: 0001250853-20-000067 · primary_doc.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Kenneth T & Simone S Sim Family Trust Disclosed balance after: 1,801,072 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 · ownership.nature: These securities are held by the Kenneth T & Simone S Sim Family Trust U/A dated 11/07/2013. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| August 27, 2020 Filed Aug 31, 2020 22:18 UTC | Astrana Health, Inc. AMEH · Entity 4538 | PurchaseCommon Stock | 5,000 | $18.34 | $91,700.00 |
DisclosureSEC source: 0001104659-20-100906 · tm2029953d1_4.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 1,770,556 F1 · ownership.nature: These securities are held by the Kenneth T. Sim Pension Plan Trust U.A. dated 12/18/2007. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose. Read SEC document |
| December 30, 2019 Filed Dec 31, 2019 02:49 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantStock Option (right to buy) · Derivative | 28,046 | $0.00 Strike: $18.65 | $0.00 |
DisclosureSEC source: 0001104659-19-076942 · tm1928380d4_4.xml · derivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,046 Underlying: Common Stock · 28,046 shares Expires 2024-12-30 F2 · derivative.exercise_price: Stock option to purchase the Company's Common Stock granted under the Company's 2015 Equity Incentive Plan, which stock option will vest and become exercisable one-third after year one (on December 30, 2020), one-third after year two (on December 30, 2021), and the final one-third after year three (on December 30, 2022), subject to expiration on the date that is five years from the date of grant (i.e., on December 30, 2024). The exercise price for each share subject to the stock option granted shall be set at the closing price of the Company's Common Stock on the date the grant was approved by the Company. F2 · kind: Stock option to purchase the Company's Common Stock granted under the Company's 2015 Equity Incentive Plan, which stock option will vest and become exercisable one-third after year one (on December 30, 2020), one-third after year two (on December 30, 2021), and the final one-third after year three (on December 30, 2022), subject to expiration on the date that is five years from the date of grant (i.e., on December 30, 2024). The exercise price for each share subject to the stock option granted shall be set at the closing price of the Company's Common Stock on the date the grant was approved by the Company. F2 · derivative.exercise_date: Stock option to purchase the Company's Common Stock granted under the Company's 2015 Equity Incentive Plan, which stock option will vest and become exercisable one-third after year one (on December 30, 2020), one-third after year two (on December 30, 2021), and the final one-third after year three (on December 30, 2022), subject to expiration on the date that is five years from the date of grant (i.e., on December 30, 2024). The exercise price for each share subject to the stock option granted shall be set at the closing price of the Company's Common Stock on the date the grant was approved by the Company. Read SEC document |
| December 30, 2019 Filed Dec 31, 2019 02:49 UTC | Astrana Health, Inc. AMEH · Entity 4538 | GrantCommon Stock | 61,343 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-076942 · tm1928380d4_4.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,343 F1 · kind: Restricted shares of Common Stock of Apollo Medical Holdings, Inc. (the "Company") granted under the Company's 2015 Equity Incentive Plan, subject to vesting one-third after year one (on December 30, 2020), one-third after year two (on December 30, 2021), and the final one-third after year three (on December 30, 2022). Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 02:26 UTC Amendment | Astrana Health, Inc. AMEH · Entity 4538 | OtherStock Option (right to buy) · Derivative | 39,189 | $0.00 Strike: $17.62 | $0.00 |
DisclosureSEC source: 0001104659-19-076929 · tm1928380d2_4a.xml · derivative · entry 2 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,189 shares Expires 2024-09-30 F2 · derivative.exercise_price: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of stock options to purchase shares of the Company's common stock under the Company's 2015 Equity Incentive Plan. F2 · kind: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of stock options to purchase shares of the Company's common stock under the Company's 2015 Equity Incentive Plan. F2 · shares: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of stock options to purchase shares of the Company's common stock under the Company's 2015 Equity Incentive Plan. F2 · derivative.exercise_date: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of stock options to purchase shares of the Company's common stock under the Company's 2015 Equity Incentive Plan. Read SEC document |
| December 27, 2019 Filed Dec 31, 2019 02:26 UTC Amendment | Astrana Health, Inc. AMEH · Entity 4538 | OtherCommon Stock | 58,883 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-076929 · tm1928380d2_4a.xml · nonDerivative · entry 1 Sim Kenneth T. · CIK 0001725499 · Director · Executive Chairman and Co-CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of restricted shares of common stock of Apollo Medical Holdings, Inc. (the "Company") under the Company's 2015 Equity Incentive Plan. F1 · acquired: This Amendment reports the rescission on December 27, 2019 ab initio of the entire grant on September 30, 2019 of restricted shares of common stock of Apollo Medical Holdings, Inc. (the "Company") under the Company's 2015 Equity Incentive Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.