SEC Form 4 · accession 0001225208-18-015912
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Greg D Aunan
Officer — SVP, Chief Accounting Officer
Period of report
Nov 23, 2018
Accepted (ET)
Nov 27, 2018 · 7:35 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 23, 2018 | M | 3,039 | $14.00 | A | 38,405 | D | |
| Common StockF1 | Nov 23, 2018 | S | 3,039 | $35.7078 | D | 35,366 | D | |
| Common Stock | Nov 26, 2018 | M | 100 | $14.00 | A | 35,466 | D | |
| Common Stock | Nov 26, 2018 | S | 100 | $35.79 | D | 35,366 | 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 | $14.00 | Nov 23, 2018 | M | 3,039 | D | — | Nov 10, 2022 | Common Stock | 3,039 | 8,753 | D |
| Nonqualified Stock Option (Right to Buy)F2 | $14.00 | Nov 26, 2018 | M | 100 | D | — | Nov 10, 2022 | Common Stock | 100 | 8,653 | 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 $35.50 to $36.03, 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 footnote (1) to this Form 4.
- F2The option vested in three equal installments on November 11, 2016, 2017 and 2018.