SEC Form 4 · accession 0001225208-18-016303
HMS HOLDINGS CORP · HMSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ellen A Rudnick
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 | 8,172 | $11.20 | A | 81,176 | D | |
| Common Stock | Dec 3, 2018 | M | 3,530 | $21.36 | A | 84,706 | D | |
| Common Stock | Dec 3, 2018 | M | 3,422 | $21.63 | A | 88,128 | D | |
| Common Stock | Dec 3, 2018 | M | 2,766 | $27.79 | A | 90,894 | D | |
| Common StockF1 | Dec 3, 2018 | S | 17,890 | $35.153 | D | 73,004 | 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 | $27.79 | Dec 3, 2018 | M | 2,766 | D | — | Oct 4, 2019 | Common Stock | 2,766 | 0 | D |
| Nonqualified Stock Option (Right to Buy)F3 | $11.20 | Dec 3, 2018 | M | 8,172 | D | — | Nov 10, 2022 | Common Stock | 8,172 | 0 | D |
| Nonqualified Stock Option (Right to Buy)F4 | $21.63 | Dec 3, 2018 | M | 3,422 | D | — | Nov 11, 2021 | Common Stock | 3,422 | 0 | D |
| Nonqualified Stock Option (Right to Buy)F5 | $21.36 | Dec 3, 2018 | M | 3,530 | D | — | Nov 14, 2020 | Common Stock | 3,530 | 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 $35.00 to $35.54, 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 four equal installments on December 31, 2012, March 31, 2013, June 30, 2013 and September 30, 2013.
- F3The option vested in four equal installments on December 31, 2015, March 31, 2016, June 30, 2016 and September 30, 2016.
- F4The option vested in four equal installments on December 31, 2014, March 31, 2015, June 30, 2015 and September 30, 2015.
- F5The option vested in four equal installments on December 31, 2013, March 31, 2014, June 30, 2014 and September 30, 2014.