SEC Form 4 · accession 0001225208-18-015836
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey Scott Sherman
Officer — EVP, CFO, and Treasurer
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 6:32 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 Stock | Nov 19, 2018 | M | 5,700 | $20.71 | A | 173,744 | D | |
| Common StockF1 | Nov 19, 2018 | S | 1,600 | $36.9351 | D | 172,144 | D | |
| Common StockF2 | Nov 19, 2018 | S | 4,100 | $35.8152 | D | 168,044 | D | |
| Common Stock | Nov 21, 2018 | M | 2,900 | $20.71 | A | 170,944 | D | |
| Common StockF3 | Nov 21, 2018 | S | 2,900 | $35.646 | D | 168,044 | D | |
| Common Stock | holding | — | — | — | 10,760 | I | By Family Trust |
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)F4 | $20.71 | Nov 19, 2018 | M | 5,700 | D | — | Sep 8, 2021 | Common Stock | 5,700 | 97,891 | D |
| Nonqualified Stock Option (Right to Buy)F4 | $20.71 | Nov 21, 2018 | M | 2,900 | D | — | Sep 8, 2021 | Common Stock | 2,900 | 94,991 | 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 $36.55 to $37.25, inclusive. The reporting person undertakes to provide to HMS Holdings Corp., any security holder of HMS Holdings Corp., 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 ranges set forth in footnotes (1), (2) and (3) to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.51 to $36.38, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.50 to $35.84, inclusive.
- F4The option vested in four equal installments on September 8, 2015, 2016, 2017 and 2018.