SEC Form 4 · accession 0001144354-15-000023
HEARTLAND PAYMENT SYSTEMS INC · HPY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert H B Baldwin Jr.
Officer — Vice Chairman
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 8:57 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001144354
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.001 per shareF1 | Mar 12, 2015 | M | 77 | $15.22 | A | 540,739 | D | |
| Common Stock, par value $0.001 per shareF1 | Mar 12, 2015 | S | 77 | $48.48 | D | 540,662 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF3 | $15.22 | Mar 12, 2015 | M | 77 | D | — | Jul 22, 2015 | Stock Option (right to buy) | 77 | 0 | D |
Explanation of responses
- F1The Reporting Person is the indirect beneficial owner of 30,442 shares of the Issuer held by the Robert H.B Baldwin, Jr. Trust U/A/D June 30, 2004 (the "Trust"). The Reporting Person disclaims beneficial ownership of the securities held in the Trust, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F2The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 12, 2014.
- F3The option vested in four equal annual installments beginning on July 22, 2011.