SEC Form 4 · accession 0001140361-16-078488
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 30, 2016
Accepted (ET)
Sep 1, 2016 · 2:02 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 30, 2016 | M | 18,439 | $1.25 | A | 438,439 | D | |
| Common Stock | Aug 30, 2016 | M | 16,344 | $0.10 | A | 454,783 | D | |
| Common Stock | Aug 30, 2016 | S | 34,783 | $33.00 | D | 420,000 | D | |
| Common Stock | Aug 31, 2016 | M | 100 | $0.10 | A | 420,100 | D | |
| Common Stock | Aug 31, 2016 | S | 100 | $33.00 | 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 30, 2016 | M | 18,439 | D | — | Aug 8, 2021 | Common Stock | 18,439 | 381,561 | D |
| Stock Option (right to buy)F2 | $0.10 | Aug 30, 2016 | M | 16,344 | D | — | Mar 26, 2019 | Common Stock | 16,344 | 203,656 | D |
| Stock Option (right to buy)F2 | $0.10 | Aug 31, 2016 | M | 100 | D | — | Mar 26, 2019 | Common Stock | 100 | 203,556 | 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.