SEC Form 4 · accession 0001225208-18-016037
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 29, 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 29, 2018 | M | 903 | $14.00 | A | 36,269 | D | |
| Common StockF1 | Nov 29, 2018 | S | 903 | $35.5273 | D | 35,366 | D | |
| Common Stock | Nov 30, 2018 | M | 8,332 | $11.20 | A | 43,698 | D | |
| Common Stock | Nov 30, 2018 | M | 7,750 | $14.00 | A | 51,448 | D | |
| Common StockF2 | Nov 30, 2018 | S | 16,082 | $35.7118 | 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)F3 | $14.00 | Nov 29, 2018 | M | 903 | D | — | Nov 10, 2022 | Common Stock | 903 | 7,750 | D |
| Nonqualified Stock Option (Right to Buy)F3 | $14.00 | Nov 30, 2018 | M | 7,750 | D | — | Nov 10, 2022 | Common Stock | 7,750 | 0 | D |
| Nonqualified Stock Option (Right to Buy)F3 | $11.20 | Nov 30, 2018 | M | 8,332 | D | — | Nov 10, 2022 | Common Stock | 8,332 | 4,168 | 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 $35.59, 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) and (2) 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 $35.50 to $36.04, inclusive.
- F3The option vested in three equal installments on November 11, 2016, 2017 and 2018.