Amended Statement of Beneficial Ownership (3/a)
August 25 2017 - 5:32PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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HOLT PAUL
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/1/2016
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3. Issuer Name
and
Ticker or Trading Symbol
NantHealth, Inc. [NH]
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(Last)
(First)
(Middle)
C/O NANTHEALTH, INC., 9920 JEFFERSON BLVD.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
CULVER CITY, CA 90232
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/1/2016
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Phantom Units
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(1)
(2)
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(1)
(2)
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Common Stock
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113659
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(3)
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D
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Phantom Units
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(1)
(4)
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(1)
(4)
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Common Stock
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31795
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(3)
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D
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Explanation of Responses:
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(1)
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The original filed form 3 reported an incorrect vesting schedule. This vesting schedule was also incorrectly reported on a Form 4 filed on June 9, 2016.
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(2)
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Subject to the reporting person's continuing service, one-half (1/2) of the phantom units held by the reporting person shall vest on the June 7, 2016 (the "Vesting Commencement Date"), and the remaining phantom units held by the reporting person shall vest in equal amounts each year on the same day of the month as the Vesting Commencement Date, such that the phantom units shall fully vest into shares of common stock on the fourth (4th) anniversary of the Vesting Commencement Date.
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(3)
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Each phantom unit is the economic equivalent of one share of NantHealth, Inc. common stock.
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(4)
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Subject to the reporting person's continuing service, one-half (1/2) of the phantom units held by the reporting person shall vest on the June 7, 2016, and the remaining phantom units held by the reporting person shall vest in equal amounts each year beginning on May 1, 2017, such that the phantom units shall fully vest into shares of common stock on May 1, 2020.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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HOLT PAUL
C/O NANTHEALTH, INC.
9920 JEFFERSON BLVD.
CULVER CITY, CA 90232
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Chief Financial Officer
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Signatures
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/s/ Charles Kim as Attorney-in-Fact
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8/25/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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