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HEALTHEQUITY, INC. — Director's Dealing 2017
Mar 29, 2017
30722_dirs_2017-03-29_47ed9cdb-421b-4519-b329-61e41d56f43d.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: 2017-03-27
Reporting Person: Neeleman Stephen (Director, Founder and Vice Chairman)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-03-27 | Stock Option (right to buy) | $41.28 | A | 19897 | Acquired | 2027-03-27 | Common Stock (19897) | Direct |
| 2017-03-27 | Stock Option (right to buy) | $14 | A | 40000 | Acquired | 2024-07-30 | Common Stock (40000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 0 | Direct |
| Common Stock | 845285 | Indirect |
| Common Stock | 291613 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $1.25 | 2021-08-08 | Common Stock (654) | 654 | Direct |
Footnotes
F1: Shares held of record by the Stephen and Christine Neeleman Trust.
F2: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. The reporting person is the manager of Family Holdings. The reporting person disclaims beneficial ownership of the shares held by Family Holdings 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 Family Holdings for any other purposes.
F3: The option becomes exercisable in three annual installments of 4,974 shares on March 27, 2018, 2019, and 2020 and in one installment of 4,975 shares on March 27, 2021.
F4: On June 30, 2014, the reporting person was granted an option to purchase 200,000 shares of common stock. The option vests in annual installments based on the issuer's satisfaction of certain performance criteria for each of the fiscal years ending January 31, 2016 (10%), 2017 (20%), 2018 (30%) and 2019 (40%). The performance criteria for 2017 were met, resulting in the vesting of the option as to 40,000 shares.
F5: The option is immediately exercisable.