SEC Form 4 · accession 0001403431-17-000095
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
Jun 28, 2017
Accepted (ET)
Jun 30, 2017 · 5:57 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 | Jun 28, 2017 | M | 2,000 | $7.33 | A | 168,965 | D | |
| Common StockF1 | Jun 28, 2017 | S | 2,000 | $16.15 | D | 166,965 | D | |
| Common Stock | Jun 28, 2017 | M | 4,714 | $7.33 | A | 171,679 | D | |
| Common StockF2 | Jun 28, 2017 | F | 3,233 | $16.00 | D | 168,446 | 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)F3,F1 | $7.33 | Jun 28, 2017 | M | 2,000 | D | — | Mar 25, 2019 | Common Stock | 2,000 | 4,714 | D |
| Employee Stock Option (right to buy)F3 | $7.33 | Jun 28, 2017 | M | 4,714 | D | — | Mar 25, 2019 | Common Stock | 4,714 | 0 | D |
Explanation of responses
- F1Exercises were made pursuant to a Rule 10b5-1 plan.
- F22,160 shares were surrendered back to the Company through a Sell to Cover cashless option exercise. 1,073 shares were withheld by the Company to cover applicable payroll taxes.
- F3Fully vested.