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HEALTHEQUITY, INC. — Director's Dealing 2016
Jun 27, 2016
30722_dirs_2016-06-27_f7b30611-5fa6-43d6-9f92-d975e13fb547.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: HEALTHEQUITY INC (HQY)
CIK: 0001428336
Period of Report: 2016-06-23
Reporting Person: LEAVITT MICHAEL O (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-06-23 | Common Stock | S | 6250 | $29.1661 | Disposed | 16667 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 30000 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $21.27 | 2026-02-01 | Common Stock (15000) | 15000 | Direct |
| Stock Option (right to buy) | $25.39 | 2025-03-26 | Common Stock (15000) | 15000 | Direct |
| Stock Option (right to buy) | $14 | 2024-07-30 | Common Stock (15000) | 15000 | Direct |
Footnotes
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.04 to $29.3201, inclusive. The reporting person 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 (1) to this Form 4.
F2: Shares held directly by Third Chapter, Inc. ("Third Chapter"), an entity controlled by the reporting person. The reporting person disclaims beneficial ownership of the shares held by Third Chapter except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of the shares held by Third Chapter for any other purposes.
F3: The option became exercisable as to 7,500 shares upon the reporting person's reelection to the issuer's board of directors at the issuer's 2016 Annual Meeting of Stockholders held on June 23, 2016. The remaining 7,500 shares will become exercisable on January 31, 2017; provided, that the reporting person continues to serve as a director of the issuer through such date.
F4: The option is immediately exercisable.