UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | 05/15/2018 | 07/24/2019 | Common Stock | 450 | $ 0 | D | Â |
Restricted Stock Units | 06/02/2018(1) | 09/02/2020 | Common Stock | 746 | $ 0 | D | Â |
Restricted Stock Units | 05/15/2019(2) | 08/13/2021 | Common Stock | 827 | $ 0 | D | Â |
Restricted Stock Units | 05/15/2020(3) | 09/06/2022 | Common Stock | 457 | $ 0 | D | Â |
Stock Appreciation Rights | 04/24/2018(4) | 04/24/2019 | Common Stock | 3,601 | $ 69.38 | D | Â |
Stock Appreciation Rights | 05/13/2019(5) | 05/13/2021 | Common Stock | 3,308 | $ 75.42 | D | Â |
Stock Appreciation Rights | 05/15/2020(6) | 06/06/2022 | Common Stock | 2,283 | $ 65.48 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEARTY JAMES O C/O DAVITA INC. 2000 16TH STREET DENVER, CO 80202 |
 |  |  Chief Compliance Officer |  |
/s/ Arturo Sida, Attorney-in-Fact | 04/10/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These restricted stock units are scheduled to vest 50% each on 6/2/2018 and 6/2/2019, subject to continued service through each applicable vesting date. |
(2) | These restricted stock units are scheduled to vest 50% each on 5/15/2019 and 5/15/2020, subject to continued service through each applicable vesting date. |
(3) | These restricted stock units are scheduled to vest 50% each on 5/15/2020 and 5/15/2021, subject to continued service through each applicable vesting date. |
(4) | The Stock Appreciation Rights were granted on 4/24/2014. 50% vested on 4/24/2017 and the remaining 50% will vest on 4/24/2018. |
(5) | The Stock Appreciation Rights were granted on 5/13/2016. 50% will vest on 5/13/2019 and the remaining 50% will vest on 5/13/2020. |
(6) | The Stock Appreciation Rights were granted on 6/6/2017. 50% will vest on 5/15/2020 and the remaining 50% will vest on 5/15/2021. |