SEC Form 4 · accession 0001225208-18-016301

HMS HOLDINGS CORP · HMSY

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

Reporting owner

Officer — Chairman, President and CEO · Director

Period of report

Dec 3, 2018

Accepted (ET)

Dec 6, 2018 · 5:11 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	Dec 3, 2018	M	25,923	$21.36	A	207,323	D
Common Stock^F1	Dec 3, 2018	S	300	$36.2567	D	207,023	D
Common Stock^F2	Dec 3, 2018	S	25,623	$35.2364	D	181,400	D
Common Stock	Dec 4, 2018	M	11,646	$21.36	A	193,046	D
Common Stock^F3	Dec 4, 2018	S	11,646	$35.2226	D	181,400	D
Common Stock^F4	holding	—	—		—	581,734	I	By Lucia Family Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Nonqualified Stock Option (Right to Buy)^F5	$21.36	Dec 3, 2018	M	25,923	D	—	Nov 14, 2020	Common Stock	25,923	43,995	D
Nonqualified Stock Option (Right to Buy)^F5	$21.36	Dec 4, 2018	M	11,646	D	—	Nov 14, 2020	Common Stock	11,646	32,349	D

F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.10 to $36.38., 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 $35.005 to $35.96, inclusive.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.59, inclusive.
F4These 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 763,134 shares following the transactions reported on this Form 4.
F5One-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.