SEC Form 4 · accession 0001403431-17-000068

Heritage-Crystal Clean, Inc. · HCCI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — COO

Period of report

Apr 6, 2017

Accepted (ET)

Apr 10, 2017 · 5:43 pm EDT

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
Common Stock^F1	Apr 6, 2017	M	28,261	$11.50	A	195,226	D
Common Stock^F1,F2	Apr 6, 2017	S	28,261	$14.64	D	166,965	D
Common Stock^F1	Apr 7, 2017	M	29,739	$11.50	A	196,704	D
Common Stock^F1,F3	Apr 7, 2017	S	29,739	$14.93	D	166,965	D
Common Stock	Apr 10, 2017	M	2,264	$11.50	A	169,229	D
Common Stock^F4	Apr 10, 2017	S	2,264	$15.11	D	166,965	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F5,F1	$11.50	Apr 6, 2017	M	28,261	D	—	Mar 17, 2018	Common Stock	28,261	32,003	D
Employee Stock Option (right to buy)^F5,F1	$11.50	Apr 7, 2017	M	29,739	D	—	Mar 17, 2018	Common Stock	29,739	2,264	D
Employee Stock Option (right to buy)^F5,F1	$11.50	Apr 10, 2017	M	2,264	D	—	Mar 17, 2018	Common Stock	2,264	0	D

F1Exercises were made pursuant to a Rule 10b5-1 plan.
F2The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.50 to $14.80, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
F3The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.80 to $15.05, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
F4The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $15.10 to $15.15, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
F5Fully vested.