Goosehead Insurance, Inc. — Director's Dealing 2021

Jun 15, 2021

SEC Form 4/A — Form 4/A

Issuer: Goosehead Insurance, Inc. (GSHD)
CIK: 0001726978
Period of Report: 2021-06-07

Reporting Person: Mark & Robyn Jones Descendants Trust 2014 (10% Owner, Member of 10% owner group)
Reporting Person: Jones Mark Evan (Director, CEO, 10% Owner, Member of 10% owner group)
Reporting Person: Jones Robyn Mary Elizabeth (Director, 10% Owner, Member of 10% owner group)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-06-07	Class B Common Stock	C	19207	—	Disposed	10398720	Direct
2021-06-07	Class A Common Stock	C	19207	—	Acquired	19207	Direct
2021-06-07	Class A Common Stock	S	1362	$90.83	Disposed	17845	Direct
2021-06-07	Class A Common Stock	S	9436	$92.04	Disposed	8409	Direct
2021-06-07	Class A Common Stock	S	8409	$92.76	Disposed	0	Direct
2021-06-08	Class B Common Stock	C	21605	—	Disposed	10377115	Direct
2021-06-08	Class A Common Stock	C	21605	—	Acquired	21605	Direct
2021-06-08	Class A Common Stock	S	896	$94.05	Disposed	20709	Direct
2021-06-08	Class A Common Stock	S	7305	$94.99	Disposed	13404	Direct
2021-06-08	Class A Common Stock	S	13404	$95.81	Disposed	0	Direct
2021-06-09	Class B Common Stock	C	18079	—	Disposed	10359036	Direct
2021-06-09	Class A Common Stock	C	18079	—	Acquired	18079	Direct
2021-06-09	Class A Common Stock	S	8891	$91.76	Disposed	9188	Direct
2021-06-09	Class A Common Stock	S	2737	$92.55	Disposed	6451	Direct
2021-06-09	Class A Common Stock	S	2000	$93.95	Disposed	4451	Direct
2021-06-09	Class A Common Stock	S	4151	$95.08	Disposed	300	Direct
2021-06-09	Class A Common Stock	S	300	$96.02	Disposed	0	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-06-07	LLC Units in Goosehead Financial, LLC	$0.0	C	19207	Disposed		Class A Common Stock (19207.0)	Direct
2021-06-08	LLC Units in Goosehead Financial, LLC	$0.0	C	21605	Disposed		Class A Common Stock (21605.0)	Direct
2021-06-09	LLC Units in Goosehead Financial, LLC	$0.0	C	18079	Disposed		Class A Common Stock (18079.0)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Class B Common Stock	182349	Direct
Class A Common Stock	286201	Direct
Class A Common Stock	333790	Direct
Class B Common Stock	132349	Direct
Class B Common Stock	1860355	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
LLC Units in Goosehead Financial, LLC	$0.0		Class A Common Stock (182349.0)	182349	Direct
LLC Units in Goosehead Financial, LLC	$0.0		Class A Common Stock (132349.0)	132349	Direct
LLC Units in Goosehead Financial, LLC	$0.0		Class A Common Stock (1860355.0)	1860355	Indirect

Footnotes

F1: Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held (i) directly by the Mark & Robyn Jones Descendants Trust 2014 and (ii) indirectly by Mark Evan Jones and Robyn Mary Elizabeth Jones, who serve as trustees of the Mark & Robyn Jones Descendants Trust 2014 and whose immediate family members are beneficiaries of the Mark & Robyn Jones Descendants Trust 2014.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.34 to $91.09, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.39 to $92.38, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.39 to $93.17, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.43 to $94.41, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.44 to $95.43, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.45 to $96.38, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.30 to $92.20, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.31 to $93.20, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.50 to $94.41, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.53 to $95.47, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.57 to $96.13, inclusive. The reporting person trust undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

F13: Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by Mark Evan Jones, and does not reflect Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held by his spouse, Robyn Mary Elizabeth Jones, who is independently a reporting person of the issuer.

F14: Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by Robyn Mary Elizabeth Jones, and does not reflect Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held by her spouse, Mark Evan Jones, who is independently a reporting person of the issuer.

F15: Reflects shares of Class B Common Stock or LLC Units, as applicable, held indirectly by Mark Evan Jones and Robyn Mary Elizabeth Jones, who serve as trustees of various trusts and whose immediate family members are beneficiaries of such trusts.

F16: Each LLC Unit, together with a share of Class B Common Stock, may be converted by the holder into one share of Class A Common Stock at any time. The LLC Units do not expire.

F17: Does not reflect shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held directly by the reporting person individuals, who are each independently a reporting person of the issuer.