SEC Form 4 · accession 0001225208-17-017318
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William C Lucia
Officer — Chairman, President and CEO · Director
Period of report
Nov 12, 2017
Accepted (ET)
Nov 14, 2017 · 5:10 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 StockF1,F2 | Nov 12, 2017 | F | 2,385 | $15.60 | D | 173,418 | D | |
| Common StockF3 | holding | — | — | — | 522,092 | I | By Lucia Family Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported shares were withheld by the Issuer to satisfy tax withholding obligations upon the vesting of a portion of the Reporting Person's restricted stock units.
- F2Excludes 17,048 performance-based restricted stock units initially reported on the Reporting Person's Form 4 filed with the SEC on November 14, 2014, that were canceled on November 12, 2017 due to non-satisfaction of the performance criteria.
- F3These shares are indirectly owned by The William C Lucia Family Trust, a revocable trust for which the Reporting Person is Trustee. Taking into account shares owned both directly and indirectly by family trust, the Reporting Person beneficially owned an aggregate of 695,510 shares following the transactions reported on this Form 4.