SEC Form 4 · accession 0001225208-18-016031

HMS HOLDINGS CORP · HMSY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Semone Neuman

Officer — EVP, Coordination of Benefits

Period of report

Nov 28, 2018

Accepted (ET)

Nov 30, 2018 · 7:42 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
Common Stock	Nov 28, 2018	M	50,607	$16.77	A	150,669	D
Common Stock	Nov 28, 2018	M	12,936	$19.04	A	163,605	D
Common Stock	Nov 28, 2018	M	2,553	$21.36	A	166,158	D
Common Stock^F1	Nov 28, 2018	S	30,352	$34.4772	D	135,806	D
Common Stock^F2	Nov 28, 2018	S	35,744	$33.9261	D	100,062	D
Common Stock	Nov 29, 2018	M	21,192	$16.64	A	121,254	D
Common Stock	Nov 29, 2018	M	287	$16.77	A	121,541	D
Common Stock^F3	Nov 29, 2018	S	21,479	$35.0713	D	100,062	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)^F4	$16.77	Nov 28, 2018	M	50,607	D	—	Mar 3, 2022	Common Stock	50,607	287	D
Nonqualified Stock Option (Right to Buy)^F5	$19.04	Nov 28, 2018	M	12,936	D	—	Jun 9, 2027	Common Stock	12,936	64,684	D
Nonqualified Stock Option (Right to Buy)^F6	$21.36	Nov 28, 2018	M	2,553	D	—	Nov 14, 2020	Common Stock	2,553	0	D
Nonqualified Stock Option (Right to Buy)^F4	$16.77	Nov 29, 2018	M	287	D	—	Mar 3, 2022	Common Stock	287	0	D
Nonqualified Stock Option (Right to Buy)^F7	$16.64	Nov 29, 2018	M	21,192	D	—	May 13, 2022	Common Stock	21,192	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 $34.27 to $34.72, 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 $33.27. to $34.26, inclusive.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.71 to $35.31, inclusive.
F4One-half of the option vested in three equal installments on March 4, 2016, 2017 and 2018. The other one-half of the option vested as follows: two-thirds vested on March 4, 2017 and one-third vested on March 4, 2018.
F5One-half of the option vests in 3 equal installments on the March 3, 2018, March 3, 2019 and and March 3, 2020. The other one-half of the option vests as follows: two-thirds vests on March 3, 2019 and one-third vests on March 3, 2020.
F6One-half of the option vested in three equal installments on November 15, 2014, 2015 and 2016. The other one-half of the option was cancelled due to non-satisfaction of certain performance conditions.
F7One-half of the option vested in three equal installments on May 13, 2016, 2017 and 2018. The other one-half of the option vested as follows: two-thirds vested on May 13, 2017 and one-third vested on May 13, 2018.