SEC Form 4 · accession 0001403431-17-000070
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
Apr 11, 2017
Accepted (ET)
Apr 13, 2017 · 4:23 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 11, 2017 | M | 341 | $7.33 | A | 167,306 | D | |
| Common StockF1 | Apr 11, 2017 | S | 341 | $15.40 | D | 166,965 | 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 | $7.33 | Apr 11, 2017 | M | 341 | D | — | Mar 25, 2019 | Common Stock | 341 | 11,490 | D |
Explanation of responses
- F1Exercises were made pursuant to a Rule 10b5-1 plan.
- F2Fully vested.