SEC Form 4 · accession 0001209191-17-021239
HEALTHSTREAM INC · HSTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Gordon
Director
Period of report
Mar 16, 2017
Accepted (ET)
Mar 17, 2017 · 7:22 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001095565
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 126,861 | D | ||
| Common Stock | holding | — | — | — | 100,000 | I | Held by Crofton Capital | |
| Common Stock | holding | — | — | — | 11,386 | I | Held by The Joel Company | |
| Common Stock | holding | — | — | — | 2,500 | I | Custodial account for minor child - Gavin B. Gordon | |
| Common Stock | holding | — | — | — | 2,500 | I | Custodial account for minor child - Cameron L. Gordon |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF1,F2,F3 | $0.00 | Mar 17, 2016 | A | 2,766 | A | — | — | Common Stock | 2,766 | 2,766 | D |
Explanation of responses
- F1Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.
- F2The RSU's are subject to a three year vesting schedule, contingent upon continued service at the time of vesting. The RSU's vest annually beginning March 16, 2018 in three equal installments.
- F3Not applicable.