SEC Form 4 · accession 0001104659-16-141459
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jon Kessler
Officer — President and CEO · Director
Period of report
Aug 23, 2016
Accepted (ET)
Aug 25, 2016 · 9:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428336
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 23, 2016 | M | 10,000 | $1.25 | A | 430,000 | D | |
| Common Stock | Aug 23, 2016 | S | 10,000 | $29.00 | D | 420,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $1.25 | Aug 23, 2016 | M | 10,000 | D | — | Aug 8, 2021 | Common Stock | 10,000 | 400,000 | D |
| Stock Option (right to buy)F2 | $0.10 | holding | — | — | — | — | Mar 26, 2019 | Common Stock | 220,000 | 220,000 | D |
| Stock Option (right to buy)F2 | $14.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 40,000 | 40,000 | D |
Explanation of responses
- F1The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 16, 2015.
- F2The option is immediately exercisable.