SEC Form 4 · accession 0001403431-17-000031
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
Feb 16, 2017
Accepted (ET)
Feb 21, 2017 · 8:22 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 StockF1 | Feb 16, 2017 | M | 1,558 | $11.50 | A | 157,160 | D | |
| Common StockF1 | Feb 16, 2017 | S | 1,558 | $15.55 | D | 155,602 | 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)F2,F1 | $11.50 | Feb 16, 2017 | M | 1,558 | D | — | Mar 17, 2018 | Common Stock | 1,558 | 80,371 | D |
Explanation of responses
- F1Exercises were made pursuant to a Rule 10b5-1 plan.
- F2Fully vested.