SEC Form 4 · accession 0001209191-18-016361
HEALTHSTREAM INC · HSTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank Gordon
Director
Period of report
Mar 5, 2018
Accepted (ET)
Mar 5, 2018 · 4:04 pm EST
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 | Mar 5, 2018 | M | 6,000 | $2.99 | A | 151,529 | D | |
| Common Stock | Mar 5, 2018 | M | 15,000 | $4.66 | A | 166,529 | D | |
| Common Stock | Mar 5, 2018 | M | 15,000 | $12.23 | A | 181,529 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $2.99 | Mar 5, 2018 | M | 6,000 | D | May 29, 2008 | May 29, 2018 | Common Stock | 6,000 | 0 | D |
| Employee Stock Option (right to buy) | $4.66 | Mar 5, 2018 | M | 5,000 | D | Jun 28, 2011 | Jun 28, 2018 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (right to buy) | $4.66 | Mar 5, 2018 | M | 5,000 | D | Jun 28, 2012 | Jun 28, 2018 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (right to buy) | $4.66 | Mar 5, 2018 | M | 5,000 | D | Jun 28, 2013 | Jun 28, 2018 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (right to buy) | $12.23 | Mar 5, 2018 | M | 5,000 | D | May 26, 2012 | May 26, 2019 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (right to buy) | $12.23 | Mar 5, 2018 | M | 5,000 | D | May 26, 2013 | May 26, 2019 | Common Stock | 5,000 | 0 | D |
| Employee Stock Option (right to buy) | $12.23 | Mar 5, 2018 | M | 5,000 | D | May 26, 2014 | May 26, 2019 | Common Stock | 5,000 | 0 | D |