Kenneth T. Sim - Nov 18, 2024 Form 4 Insider Report for Astrana Health, Inc. (ASTH)

Role: Executive Chairman, Director
Signature: /s/ Kathy Diep, as Attorney-in-Fact
Stock symbol: ASTH
Transactions as of: Nov 18, 2024
Transactions value $: $523,058
Form type: 4
Date filed: 11/20/2024, 04:15 PM
Previous filing: Nov 12, 2024

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	ASTH	Common Stock	Options Exercise	$523K	+28K	+4.82%	$18.65	610K	Nov 18, 2024	Direct	F6
holding	ASTH	Common Stock						43K	Nov 18, 2024	By Kenneth T. Sim Pension Plan Trust	F1
holding	ASTH	Common Stock						231K	Nov 18, 2024	By grantor retained annuity trust	F2
holding	ASTH	Common Stock						520K	Nov 18, 2024	By Kenneth T & Simone S Sim Family Trust	F3
holding	ASTH	Common Stock						7.13M	Nov 18, 2024	By Allied Physicians of California, a Professional Medical Corporation	F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	ASTH	Stock option (right to buy)	Options Exercise	$0	-28K	-100%	$0.00	0	Nov 18, 2024	Common Stock	28K	$18.65	Direct	F5

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	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.
F2	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.
F3	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.
F4	These securities are beneficially owned by Allied Physicians of California, a Professional Medical Corporation, 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.
F5	These stock options were fully vested and exercisable.
F6	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.