SEC Form 4 · accession 0001403431-16-000105
Heritage-Crystal Clean, Inc. · HCCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory Ray
Officer — COO
Period of report
Nov 23, 2016
Accepted (ET)
Nov 28, 2016 · 8:28 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001403431
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 23, 2016 | M | 4,355 | $11.50 | A | 161,953 | D | |
| Common Stock | Nov 23, 2016 | S | 4,355 | $16.00 | D | 157,598 | D | |
| Common Stock | Nov 25, 2016 | M | 1,757 | $11.50 | A | 159,355 | D | |
| Common Stock | Nov 25, 2016 | S | 645 | $16.00 | D | 158,710 | D | |
| Common Stock | Nov 25, 2016 | S | 1,112 | $16.40 | D | 157,598 | D | |
| Common Stock | Nov 28, 2016 | M | 3,888 | $11.50 | A | 161,486 | D | |
| Common Stock | Nov 28, 2016 | S | 3,888 | $16.40 | D | 157,598 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $11.50 | Nov 23, 2016 | M | 4,355 | D | — | Mar 17, 2018 | Common Stock | 4,355 | 122,909 | D |
| Employee Stock Option (right to buy)F1 | $11.50 | Nov 25, 2016 | M | 1,757 | D | — | Mar 17, 2018 | Common Stock | 1,757 | 121,152 | D |
| Employee Stock Option (right to buy)F1 | $11.50 | Nov 28, 2016 | M | 3,888 | D | — | Mar 17, 2018 | Common Stock | 3,888 | 117,264 | D |
Explanation of responses
- F1Fully vested.