Initial Statement of Beneficial Ownership (3)
09 Julho 2020 - 5:31PM
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
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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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Labriola Victoria |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/2/2020
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3. Issuer Name and Ticker or Trading Symbol
American Renal Associates Holdings, Inc. [ARA]
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(Last)
(First)
(Middle)
C/O ARAH INC., 500 CUMMINGS CENTER, SUITE 6550 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
VP and General Counsel / |
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(Street)
BEVERLY, MA 01915
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 35701 | D | |
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) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 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) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | (1) | 3/19/2025 | Common Stock | 3970.0 | $16.49 | D | |
| Stock Option (Right to Buy) | (2) | 3/19/2025 | Common Stock | 3968.0 | $16.49 | D | |
| Stock Option (Right to Buy) | (3) | 3/19/2025 | Common Stock | 3968.0 | $16.49 | D | |
| Stock Option (Right to Buy) | (4) | 3/10/2027 | Common Stock | 1450.0 | $17.39 | D | |
| Stock Option (Right to Buy) | (5) | 12/13/2029 | Common Stock | 9139.0 | $10.19 | D | |
| Explanation of Responses: |
| (1) | An option that vested in five equal annual installments beginning on March 19, 2016. |
| (2) | An option that vested upon the attainment by Centerbridge Capital Partners, L.P. and certain of its affiliates (together, "Centerbridge") of both a 2.5 times return on investment ("MOIC") and a 20% internal rate of return ("IRR"). |
| (3) | An option that vested upon the attainment by Centerbridge of both a 3.0 times MOIC and a 25% IRR. |
| (4) | An option that vested in three equal annual installments beginning on March 10, 2018. |
| (5) | An option that vests in three equal annual installments beginning on July 18, 2020. |
Remarks:
Exhibit 24 - Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Labriola Victoria
C/O ARAH INC.
500 CUMMINGS CENTER, SUITE 6550
BEVERLY, MA 01915 |
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| VP and General Counsel |
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Signatures
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| /s/ Damien A. Grierson, by power of attorney | | 7/9/2020 |
| **Signature of Reporting Person | Date |
American Renal Associates (NYSE:ARA)
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