SEC Form 4 · accession 0001403431-17-000086
Heritage-Crystal Clean, Inc. · HCCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Lucks
Officer — Senior VP Sales & Marketing
Period of report
May 9, 2017
Accepted (ET)
May 10, 2017 · 6:54 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 Stock | May 9, 2017 | M | 6,500 | $11.50 | A | 37,755 | D | |
| Common Stock | May 9, 2017 | S | 6,500 | $14.70 | D | 31,255 | 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 | May 9, 2017 | M | 6,500 | D | — | Mar 17, 2018 | Common Stock | 6,500 | 0 | D |
Explanation of responses
- F1Fully vested.