SEC FORM 3/A SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Smyth Raoul

(Last) (First) (Middle)
C/O APRIA INC. 7353 COMPANY DRIVE

(Street)
INDIANAPOLIS IN 46237

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/11/2021
3. Issuer Name and Ticker or Trading Symbol
Apria, Inc. [ APR ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
See Remarks
5. If Amendment, Date of Original Filed (Month/Day/Year)
02/11/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 8,873 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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 Appreciation Rights (1) 03/09/2027 Common Stock 9,373 2.07 D
Stock Appreciation Rights (2) 06/05/2025 Common Stock 2,164 4.67 D
Stock Appreciation Rights (2) 08/13/2025 Common Stock 13,592 4.67 D
Stock Appreciation Rights (2) 03/09/2027 Common Stock 11,250 4.67 D
Stock Appreciation Rights (3) 10/08/2029 Common Stock 17,249 5.33 D
Stock Appreciation Rights (4) 05/12/2030 Common Stock 22,999 5.33 D
Stock Appreciation Rights (2) 06/05/2025 Common Stock 8,697 8.28 D
Stock Appreciation Rights (2) 08/13/2025 Common Stock 40,753 8.28 D
Stock Appreciation Rights (2) 03/09/2027 Common Stock 16,889 8.28 D
Stock Appreciation Rights (2) 10/08/2029 Common Stock 5,751 8.28 D
Explanation of Responses:
1. These stock appreciation rights are fully vested and become exercisable in equal quarterly installments beginning on March 1, 2021 and ending on March 1, 2022.
2. These stock appreciation rights are fully vested and exercisable.
3. These stock appreciation rights are fully vested and become exercisable in equal quarterly installments beginning on February 15, 2021 and ending on August 15, 2024.
4. These stock appreciation rights are fully vested and become exercisable as follows: (a) 20% become exercisable on May 12, 2021, and (b) the remaining becomes exercisable in equal quarterly installments ending on May 12, 2025.
Remarks:
EVP, General Counsel & Secretary This Amendment is being filed to amend and restate the original Form 3 filed by the Reporting Person on February 11, 2021 ("Original Form 3") to correct the vesting terms of the stock appreciation rights reported on the Original Form 3.
/s/ Raoul Smyth 02/18/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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