SEC Form 4 · accession 0001225208-18-016434
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
Dec 6, 2018
Accepted (ET)
Dec 10, 2018 · 6:53 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 6, 2018 | M | 44,485 | $14.00 | A | 144,547 | D | |
| Common StockF1 | Dec 6, 2018 | S | 44,485 | $34.2122 | D | 100,062 | D | |
| Common Stock | Dec 7, 2018 | M | 13,219 | $14.00 | A | 113,281 | D | |
| Common StockF2 | Dec 7, 2018 | S | 13,219 | $34.3029 | D | 100,062 | D | |
| Common Stock | Dec 10, 2018 | M | 42,296 | $14.00 | A | 142,358 | D | |
| Common StockF3 | Dec 10, 2018 | S | 42,296 | $34.1327 | 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 | $14.00 | Dec 6, 2018 | M | 44,485 | D | — | Nov 10, 2022 | Common Stock | 44,485 | 55,515 | D |
| Nonqualified Stock Option (Right to Buy)F4 | $14.00 | Dec 7, 2018 | M | 13,219 | D | — | Nov 10, 2022 | Common Stock | 13,219 | 42,296 | D |
| Nonqualified Stock Option (Right to Buy)F4 | $14.00 | Dec 10, 2018 | M | 42,296 | D | — | Nov 10, 2022 | Common Stock | 42,296 | 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 $34.00 to $34.48, 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 $34.03 to $34.74, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $34.00 to $34.45, inclusive.
- F4The option vested in three equal installments on November 11, 2016, 2017 and 2018.