SEC Form 4 · accession 0001140361-16-059033
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Neeleman
Officer — Founder and Vice Chairman · Director
Period of report
Mar 23, 2016
Accepted (ET)
Mar 25, 2016 · 3:21 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 | holding | — | — | — | 796,814 | D | ||
| Common StockF1 | holding | — | — | — | 450,000 | I | See footnote | |
| Common Stock | holding | — | — | — | 68,471 | I | By wife |
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 | $14.00 | Mar 23, 2016 | A | 20,000 | D | — | Jul 30, 2024 | Common Stock | 20,000 | 20,000 | D |
| Stock Option (right to buy)F2 | $1.25 | holding | — | — | — | — | Aug 8, 2021 | Common Stock | 213,654 | 213,654 | D |
Explanation of responses
- F1Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. The reporting person is the manager of Family Holdings. The reporting person disclaims beneficial ownership of the shares held by Family Holdings except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of the shares held by Family Holdings for any other purposes.
- F2The option is immediately exercisable.