SEC Form 4 · accession 0001225208-16-039456
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ellen A Rudnick
Director
Period of report
Sep 14, 2016
Accepted (ET)
Sep 16, 2016 · 6:01 pm EDT
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 Stock | Sep 14, 2016 | M | 19,950 | $4.8866 | A | 69,743 | D | |
| Common Stock | Sep 14, 2016 | M | 9,300 | $12.6066 | A | 79,043 | D | |
| Common Stock | Sep 14, 2016 | F | 5,428 | $21.60 | D | 73,615 | D | |
| Common StockF1 | Sep 14, 2016 | S | 19,950 | $21.5942 | D | 53,665 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock Option (Right to Buy)F2,F3 | $12.6066 | Sep 14, 2016 | M | 9,300 | D | — | Oct 1, 2016 | Common Stock | 9,300 | 0 | D |
| Nonqualified Stock Option (Right to Buy)F4,F5 | $4.8866 | Sep 14, 2016 | M | 19,950 | D | — | Nov 2, 2016 | Common Stock | 19,950 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.48 to $21.78, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.
- F2This option was previously reported as covering 3,100 shares at an exercise price of $37.82 per share but was adjusted to reflect the 3-for-1 stock split of the Issuer's common shares, effected in the form of a common stock dividend. The stock dividend was distributed on August 16, 2011, to shareholders of record at the close of business on July 22, 2011.
- F3The option vested quarterly in 25% increments over a period of one year commencing on December 31, 2009.
- F4This option was previously reported as covering 6,650 shares at an exercise price of $14.66 per share but was adjusted to reflect the 3-for-1 stock split of the Issuer's common shares, effected in the form of a common stock dividend. The stock dividend was distributed on August 16, 2011, to shareholders of record at the close of business on July 22, 2011.
- F5The option vested annually in 25% increments beginning on November 2, 2007.
Remarks
Ex. 24 - Power of Attorney