Sec Form 4 Filing - Hagerman Philip R @ Diplomat Pharmacy, Inc. - 2020-02-10

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Hagerman Philip R
2. Issuer Name and Ticker or Trading Symbol
Diplomat Pharmacy, Inc. [ DPLO]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
4100 S. SAGINAW ST.
3. Date of Earliest Transaction (MM/DD/YY)
02/10/2020
(Street)
FLINT, MI48507
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/10/2020 U( 1 ) 1,280,099 D $ 4 0 I Philip R. Hagerman Revocable Trust ( 3 )
Common Stock 02/10/2020 U( 1 ) 3,391,609 D $ 4 0 I 2007 Hagerman Family GST ( 4 )
Common Stock 02/10/2020 U( 1 ) 3,600,091 D $ 4 0 I The JH GST Trust ( 3 )
Common Stock 02/10/2020 U( 1 ) 1,475,876 D $ 4 0 I 2013 Irrev. Exempt Trust for Daughter ( 4 )
Common Stock 02/10/2020 U( 1 ) 1,475,876 D $ 4 0 I 2013 Irrev. Exempt Trust for Son ( 4 )
Common Stock 02/10/2020 U( 1 ) 1,075,293 D $ 4 0 I 2013 Irrev. Exempt Trust for Daughter ( 3 )
Common Stock 02/10/2020 U( 1 ) 1,311,292 D $ 4 0 I 2013 Irrev. Exempt Trust for Daughter ( 3 )
Common Stock 02/10/2020 U( 1 ) 313,337 D $ 4 0 I 2014 Irrev. Exempt Trust for Son ( 4 )
Common Stock 02/10/2020 U( 1 ) 313,337 D $ 4 0 I 2014 Irrev. Exempt Trust for Daughter ( 4 )
Common Stock 02/10/2020 U( 1 ) 313,337 D $ 4 0 I 2014 Irrev. Exempt Trust for Daughter ( 3 )
Common Stock 02/10/2020 U( 1 ) 313,337 D $ 4 0 I 2014 Irrev. Exempt Trust for Daughter ( 3 )
Common Stock 02/10/2020 U( 1 ) 367,528 D $ 4 0 I Jocelyn Hagerman Living Trust ( 4 )
Common Stock 02/10/2020 U( 1 ) 263,500 D $ 4 0 I JH Marital Trust ( 3 )
Common Stock 02/10/2020 U( 1 ) 272,000 D $ 4 0 I PH Marital Trust ( 4 )
Common Stock 02/10/2020 U( 1 ) 394,910 D $ 4 0 I Irrevocable Trust for Son
Common Stock 02/10/2020 U( 1 ) 394,910 D $ 4 0 I Irrevocable Trust for Daughter
Common Stock 02/10/2020 U( 1 ) 367,256 D $ 4 0 I Irrevocable Non-Exempt Trust for Son
Common Stock 02/10/2020 U( 1 ) 367,256 D $ 4 0 I Irrevocable Non-Exempt Trust for Daughter
Common Stock 02/10/2020 U( 1 ) 2,612 D $ 4 33,259 D
Common Stock 02/10/2020 D( 2 ) 33,259 D $ 4 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Hagerman Philip R
4100 S. SAGINAW ST.
FLINT, MI48507
X X
Signatures
/s/ Christina Flint, by Power of Attorney 02/10/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents shares tendered to the Denali Merger Sub, Inc. ("Purchaser") in connection with the closing on February 10, 2020 of a cash tender offer by Purchaser to acquire common stock of Issuer in exchange for $4.00 per share in cash, subject to any required withholding of taxes, without interest.
( 2 )Pursuant to an Agreement and Plan of Merger, dated December 9, 2019 (the "Merger Agreement"), by and among UnitedHealth Group Incorporated, a Delaware corporation ("Parent"), Purchaser, a Michigan corporation and a wholly owned subsidiary of Parent and Diplomat Pharmacy, Inc., a Michigan corporation (the "Issuer"), each outstanding restricted stock award held by reporting person was disposed of pursuant to the closing on February 10, 2020 of the merger of Purchaser with and into the Issuer.
( 3 )These shares are indirectly owned by Mr. Hagerman as the trustee of the Philip R. Hagerman Revocable Trust, The JH GST Trust, the 2013 Irrevocable Exempt Trusts and 2014 Irrevocable Exempt Trusts for two daughters, and the JH Marital Trust.
( 4 )Jocelyn Hagerman is Mr. Hagerman's wife. These shares are indirectly owned by her, with Mr. Hagerman acting as the trustee of the 2007 Hagerman Family GST Trust, the 2013 Irrevocable Exempt Trusts and 2014 Irrevocable Exempt Trusts for a son and daughter, and the Jocelyn Hagerman Living Trust. Mrs. Hagerman is the co-trustee with Mr. Hagerman of the PH Marital Trust.

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