SEC Form 5 · accession 0001179110-15-002029
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C Lucia
Officer — President and CEO · Director
Period of report
Dec 31, 2014
Accepted (ET)
Feb 6, 2015 · 5:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001196501
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Dec 29, 2009 | G | 18,694 | $0.00 | D | 118,374 | D | |
| Common StockF2,F4 | Dec 29, 2009 | G | 18,694 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF2,F3 | Jan 25, 2010 | G | 8,000 | $0.00 | D | 118,374 | D | |
| Common StockF2,F4 | Jan 25, 2010 | G | 8,000 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF2,F3 | Feb 25, 2010 | G | 4,000 | $0.00 | D | 118,374 | D | |
| Common StockF2,F4 | Feb 25, 2010 | G | 4,000 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF2,F3 | Jan 12, 2011 | G | 14,000 | $0.00 | D | 118,374 | D | |
| Common StockF2,F4 | Jan 12, 2011 | G | 14,000 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Nov 15, 2012 | G | 33,337 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Nov 15, 2012 | G | 33,337 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Feb 4, 2013 | G | 49,122 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Feb 4, 2013 | G | 49,122 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Jun 19, 2013 | G | 21,324 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Jun 19, 2013 | G | 21,324 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Jul 28, 2014 | G | 23,750 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Jul 28, 2014 | G | 23,750 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Sep 22, 2014 | G | 4,974 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Sep 22, 2014 | G | 4,974 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
| Common StockF3 | Oct 21, 2014 | G | 4,706 | $0.00 | D | 118,374 | D | |
| Common StockF4 | Oct 21, 2014 | G | 4,706 | $0.00 | A | 259,869 | I | By Lucia Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported transactions involved a gift of securities by the reporting person to The William C Lucia Family Trust, a revocable trust for which the reporting person is Trustee.
- F2The reported transactions reflect the actual number of securities acquired or disposed on the date of the transaction and have not been adjusted to reflect the 3-for-1 stock split of the Issuer's common shares, effected in the form of a common stock dividend distributed on August 16, 2011, to shareholders of record at the close of business on July 22, 2011 (the "Stock Split").
- F3The number of securities reported reflects the total number of shares directly owned on December 31, 2014, including shares received as a result of the Stock Split. It excludes 250,295 shares that were inadvertently previously reported as directly beneficially owned that are indirectly owned by The William C Lucia Family Trust. Taking into account shares owned both directly and indirectly by family trust, the reporting person beneficially owned an aggregate of 378,243 shares on December 31, 2014.
- F4The number of securities reported reflects the total number of shares indirectly owned by The William C Lucia Family Trust on December 31, 2014, including shares received as a result of the Stock Split. It includes 250,295 shares that were inadvertently previously reported as directly beneficially owned. Taking into account shares owned both directly and indirectly by family trust, the reporting person beneficially owned an aggregate of 378,243 shares on December 31, 2014.