SEC Form 4 · accession 0001209191-17-039749
HFF, Inc. · HF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lenore M Sullivan
Director
Period of report
Nov 10, 2015
Accepted (ET)
Jun 14, 2017 · 9:35 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001380509
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stock | Nov 10, 2015 | M | 4,167 | $18.00 | A | 58,664 | D | |
| Class A common stock | Nov 10, 2015 | M | 13,393 | $3.37 | A | 72,057 | D | |
| Class A common stockF1,F2 | Jun 12, 2016 | S | 12,000 | $33.41 | D | 60,057 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $18.00 | Nov 10, 2015 | M | 4,167 | D | Jan 30, 2008 | Jan 30, 2017 | Class A common stock | 4,167 | 13,393 | D |
| Stock OptionF4 | $3.37 | Nov 10, 2015 | M | 13,393 | D | May 28, 2010 | May 28, 2019 | Class A common stock | 13,393 | 0 | D |
Explanation of responses
- F1This is the weighted average price at which the securities were sold. The range of prices for these sales was $33.23 - $33.59.
- F2Full information regarding the number of shares sold at each separate price is available upon request by the SEC staff, the issuer or any security holder of the issuer.
- F3The stock option vested in three equal installments beginning one year after January 30, 2007, the date of grant.
- F4The stock option vested in three equal installments beginning one year after May 28, 2009, the date of grant.