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Astrana Health (ASTH) CEO awarded 201,056 restricted stock units

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(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Sim Brandon reported acquisition or exercise transactions in this Form 4 filing.

Astrana Health, Inc. CEO and President Brandon Sim reported an equity compensation grant in the form of 201,056 restricted stock units, each representing a right to receive one share of common stock. These units are scheduled to vest in eight equal semi-annual installments beginning on October 6, 2026, subject to continued employment. Following this grant, Sim directly holds 1,246,385 shares of common stock, including other unvested restricted stock and restricted stock units. The filing also notes indirect holdings in the Sim Family Irrevocable Trust 2021 and the Brandon Sim 2020 Irrevocable Trust, for which Sim disclaims beneficial ownership except for any pecuniary interest.

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Insider Sim Brandon
Role CEO and President
Type Security Shares Price Value
Grant/Award Common Stock 201,056 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 1,246,385 shares (Direct); Common Stock — 258,824 shares (Indirect, By Sim Family Irrevocable Trust 2021)
Footnotes (1)
  1. These securities are held by the Sim Family Irrevocable Trust 2021. 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 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. These securities are held by the Brandon Sim 2020 Irrevocable Trust. 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 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. Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026. Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 29,919 shares, which will vest on June 27, 2026; and (ii) 34,207 shares, which will vest in two equal semi-annual installments, beginning September 30, 2026. Also includes the following restricted stock units, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 60,347 restricted stock units, which will vest in four equal semi-annual installments beginning on October 2, 2026; (ii) 109,232 restricted stock units, which will vest in six equal semi-annual installments beginning on September 5, 2026; and (iii) 201,056 restricted stock units, which will vest in eight equal semi-annual installments beginning on October 6, 2026. Includes 1,420 shares acquired under the Issuer's Employee Stock Purchase Plan.
New RSU grant 201,056 restricted stock units Grant to CEO Brandon Sim; each unit equals one common share
RSU vesting schedule 8 semi-annual installments Installments beginning October 6, 2026, subject to continued employment
Direct holdings after grant 1,246,385 shares Common stock directly held by Brandon Sim after reported transactions
Sim Family Irrevocable Trust 2021 holdings 258,824 shares Indirect Astrana Health common stock held by trust, with ownership disclaimed except pecuniary interest
Brandon Sim 2020 Irrevocable Trust holdings 392,816 shares Indirect holdings via trust; beneficial ownership disclaimed except pecuniary interest
Unvested restricted stock 29,919 and 34,207 shares Restricted stock scheduled to vest on June 27, 2026 and in two semi-annual installments starting September 30, 2026
Additional RSU awards 60,347; 109,232; 201,056 units RSUs vesting in semi-annual installments beginning September 5, 2026 or October 2, 2026, and October 6, 2026
ESPP shares 1,420 shares Shares acquired under Astrana Health's Employee Stock Purchase Plan
restricted stock units financial
"Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
semi-annual installments financial
"the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026"
Employee Stock Purchase Plan financial
"Includes 1,420 shares acquired under the Issuer's Employee Stock Purchase Plan"
An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.
beneficial ownership financial
"the inclusion of these shares in this report is not an admission that the Reporting Person is the beneficial owner"
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
pecuniary interest financial
"disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein"
Irrevocable Trust financial
"These securities are held by the Sim Family Irrevocable Trust 2021"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Sim Brandon
(Last)(First)(Middle)
C/O ASTRANA HEALTH, INC.
1668 S. GARFIELD AVENUE, 2ND FLOOR
(Street)
ALHAMBRA CALIFORNIA 91801
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Astrana Health, Inc. [ ASTH ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
CEO and President
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
04/06/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)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)
CodeVAmount(A) or (D)Price
Common Stock04/06/2026A201,056(3)A$01,246,385(4)(5)D
Common Stock258,824IBy Sim Family Irrevocable Trust 2021(1)
Common Stock392,816IBy Brandon Sim 2020 Irrevocable Trust(2)
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 (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)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 (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. These securities are held by the Sim Family Irrevocable Trust 2021. 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 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.
2. These securities are held by the Brandon Sim 2020 Irrevocable Trust. 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 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.
3. Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. Provided the Reporting Person is still employed with the Issuer on the date of vesting, the shares shall vest in eight equal semi-annual installments beginning on October 6, 2026.
4. Includes the following shares of unvested restricted stock, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 29,919 shares, which will vest on June 27, 2026; and (ii) 34,207 shares, which will vest in two equal semi-annual installments, beginning September 30, 2026. Also includes the following restricted stock units, which will vest as follows (in each case subject to continuous employment with the Issuer): (i) 60,347 restricted stock units, which will vest in four equal semi-annual installments beginning on October 2, 2026; (ii) 109,232 restricted stock units, which will vest in six equal semi-annual installments beginning on September 5, 2026; and (iii) 201,056 restricted stock units, which will vest in eight equal semi-annual installments beginning on October 6, 2026.
5. Includes 1,420 shares acquired under the Issuer's Employee Stock Purchase Plan.
/s/ Kathy Diep, as Attorney-in-Fact04/08/2026
** Signature of Reporting PersonDate
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 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What equity award did Astrana Health (ASTH) CEO Brandon Sim receive?

Brandon Sim received 201,056 restricted stock units, each equal to one share of Astrana Health common stock. The units were granted at no cash cost and represent a long-term equity incentive linked to his continued employment and future company performance.

How do Brandon Sim’s new restricted stock units vest at Astrana Health (ASTH)?

The 201,056 restricted stock units are scheduled to vest in eight equal semi-annual installments starting on October 6, 2026. Vesting occurs only if Sim remains employed with Astrana Health on each vesting date, reinforcing long-term retention.

How many Astrana Health (ASTH) shares does Brandon Sim hold directly after this Form 4?

After the reported grant, Brandon Sim directly holds 1,246,385 shares of Astrana Health common stock. This figure includes vested shares, unvested restricted stock, and restricted stock units described in the footnotes, as well as 1,420 shares acquired under the Employee Stock Purchase Plan.

What other unvested equity awards does Astrana Health (ASTH) CEO Brandon Sim have?

Footnotes describe additional unvested awards, including 29,919 and 34,207 restricted stock shares and restricted stock units of 60,347, 109,232, and 201,056. These awards vest in scheduled semi-annual installments, contingent on his continued employment at Astrana Health.