SEC Form 4 · accession 0001209191-18-020402
HEALTHSTREAM INC · HSTM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert A Frist Jr.
Officer — CEO · Director · 10% Owner
Period of report
Mar 15, 2018
Accepted (ET)
Mar 16, 2018 · 7:09 pm 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 | — | — | — | 5,104,372 | D | ||
| Common Stock | holding | — | — | — | 10,000 | I | The Carolyn Marie Frist 2005 Vested Trust | |
| Common Stock | holding | — | — | — | 10,000 | I | The Cate Merriman Frist 2005 Vested Trust | |
| Common Stock | holding | — | — | — | 10,000 | I | The Eleanor Knox Frist 2005 Vested Trust | |
| Common Stock | holding | — | — | — | 18,335 | I | Louise Trust u/a/d 08-16-2007 | |
| Common Stock | holding | — | — | — | 18,334 | I | Merriman Trust u/a/d 08-16-2007 | |
| Common Stock | holding | — | — | — | 18,334 | I | Marie Trust u/a/d 08-16-2007 | |
| Common Stock | holding | — | — | — | 18,334 | I | Knox Trust u/a/d 08-16-2007 | |
| Common Stock | holding | — | — | — | 435,000 | I | Bobby and Melissa Frist Children's 2012 GST-Exempt Trust |
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 15, 2018 | A | 5,325 | A | — | — | Common Stock | 5,325 | 5,325 | 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 four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 15, 2019, 20% vest on March 15, 2020, 30% vest on March 15, 2021, and the remaining 35% vest on March 15, 2022.
- F3Not applicable.