0001193805-23-001525.txt : 20231121 0001193805-23-001525.hdr.sgml : 20231121 20231121180900 ACCESSION NUMBER: 0001193805-23-001525 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231117 FILED AS OF DATE: 20231121 DATE AS OF CHANGE: 20231121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) CENTRAL INDEX KEY: 0001009258 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39391 FILM NUMBER: 231429477 BUSINESS ADDRESS: STREET 1: 345 PARK AVENUE SOUTH, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 2125511600 MAIL ADDRESS: STREET 1: 345 PARK AVENUE SOUTH, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 FORMER NAME: FORMER CONFORMED NAME: DEERFIELD MANAGEMENT CO DATE OF NAME CHANGE: 20131114 FORMER NAME: FORMER CONFORMED NAME: DEERFIELD MANAGEMENT CO /NY DATE OF NAME CHANGE: 19981022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Flynn James E CENTRAL INDEX KEY: 0001352546 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39391 FILM NUMBER: 231429478 MAIL ADDRESS: STREET 1: 780 THIRD AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CareMax, Inc. CENTRAL INDEX KEY: 0001813914 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-NURSING & PERSONAL CARE FACILITIES [8050] IRS NUMBER: 850992224 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1000 NW 57 COURT, SUITE 400 CITY: MIAMI STATE: FL ZIP: 33126 BUSINESS PHONE: 786-360-4768 MAIL ADDRESS: STREET 1: 1000 NW 57 COURT, SUITE 400 CITY: MIAMI STATE: FL ZIP: 33126 FORMER COMPANY: FORMER CONFORMED NAME: Deerfield Healthcare Technology Acquisitions Corp. DATE OF NAME CHANGE: 20200602 4 1 e619079_4-flynn.xml X0508 4 2023-11-17 0 0001813914 CareMax, Inc. CMAX 0001352546 Flynn James E 345 PARK AVENUE SOUTH, 12TH FLOOR NEW YORK NY 10010 1 0 1 1 Director by Deputization 0001009258 DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) 345 PARK AVENUE SOUTH, 12TH FLOOR NEW YORK NY 10010 1 0 1 1 Director by Deputization 0 Class A Common Stock 2023-11-17 4 M 0 12123 A 12123 I Through Deerfield Management Company, L.P. Class A Common Stock 15811090 I Through Deerfield Partners, L.P. Restricted Stock Units 2023-11-17 4 M 0 12123 0.00 D Class A Common Stock 12123 0 I Through Deerfield Management Company, L.P. The reported transaction involved the vesting and settlement of 12,123 restricted stock units ("RSUs") on November 17, 2023. On such date, each such RSU vested in full and converted into Class A common stock of the Issuer on a one-for-one basis. Kevin Berg, an employee of Deerfield Management Company, L.P. ("Deerfield Management"), serves as a director of the Issuer. The RSUs granted to Mr. Berg were held for the benefit, and at the direction, of Deerfield Management. This Form 4 is being filed by the undersigned as well as the entity listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). James E. Flynn is the sole member of the general partner of Deerfield Management and of the general partner of Deerfield Partners, L.P. Deerfield Management is the investment manager of Deerfield Partners, L.P. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by Deerfield Management and Deerfield Partners is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise. Each RSU was awarded on November 17, 2022, vested on November 17, 2023 and represented a contingent right to receive one share of the Issuer's Class A common stock in accordance with the Issuer's 2021 Long-Term Incentive Plan. Kevin Berg, an employee of Deerfield Management, serves as a director of the Issuer. Jonathan Isler, Attorney-in-Fact: Power of Attorney, which is hereby incorporated by reference to Exhibit 24 to a Form 4 with regard to DA32 Life Science Tech Acquisition Corp. filed with the Securities and Exchange Commission on August 3, 2021 by Deerfield Partners, L.P., Deerfield Mgmt, L.P., Deerfield Management Company, L.P. and James E. Flynn. /s/ Jonathan Isler, Attorney-in-Fact 2023-11-21 EX-99 2 e619079_ex99.htm

 

Joint Filer Information

 

Names: Deerfield Management Company, L.P.
   
Address:

345 Park Avenue South, 12th Floor

New York, NY  10010

   
Designated Filer: James E. Flynn
   
Issuer and Ticker Symbol: Caremax, Inc.  [CMAX]
   
Date of Event Requiring Statement: November 17, 2023

 

The undersigned, Deerfield Management Company, L.P., is jointly filing the attached Statement of Changes in Beneficial Ownership on Form 4 with James E. Flynn with respect to the beneficial ownership of securities of Caremax, Inc.

 

Signatures:

 

DEERFIELD MANAGEMENT COMPANY, L.P.

By:  Flynn Management LLC, General Partner

 

By: Jonathan Isler

       Jonathan Isler, Attorney-In-Fact