SEC Form 4/A · accession 0001140361-16-083800
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Manu S Rana
Director
Period of report
Oct 25, 2016
Accepted (ET)
Oct 27, 2016 · 5:55 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 StockF1,F2,F3 | Oct 25, 2016 | S | 294,116 | $35.85 | D | 382,352 | I | See footnote |
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)F4 | $21.27 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 15,000 | 15,000 | D |
| Restricted Stock UnitF5,F6 | — | holding | — | — | — | — | — | Common Stock | 795 | 795 | D |
| Stock Option (right to buy)F7 | $1.25 | holding | — | — | — | — | Oct 25, 2021 | Common Stock | 7,500 | 7,500 | D |
| Stock Option (right to buy)F7 | $1.25 | holding | — | — | — | — | Apr 26, 2022 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F7 | $1.50 | holding | — | — | — | — | May 9, 2023 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F7 | $14.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F7 | $25.39 | holding | — | — | — | — | Mar 26, 2025 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1The number of shares sold was mistakenly reported as 330,882, and the amount of securities beneficially owned following the reported transaction was correspondingly incorrect. The correct number of shares sold, and the correct amount of securities beneficially owned following the reported transaction, are reported here.
- F2Price of $35.85 does not reflect underwriter discount or fees.
- F3All securities are held of record by Financial Partners Fund I, L.P. ("FPF I"), a Delaware limited partnership. The reporting person is a managing principal of FPF I. The reporting person disclaims beneficial ownership of the securities held by FPF I except to the extent of his pecuniary interest therein.
- F4The option became exercisable as to 7,500 shares upon the reporting person's reelection to the issuer's board of directors at the issuer's 2016 Annual Meeting of Stockholders held on June 23, 2016. The remaining 7,500 shares will become exercisable on January 31, 2017; provided, that the reporting person continues to serve as a director of the issuer through such date.
- F5Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F6The restricted stock units vested as to 397 shares on August 1, 2016 and will vest as to the remaining 398 shares on November 1, 2016. Vested shares will be delivered to the reporting person upon the earlier of a change of control of the issuer (as defined in the issuer's 2014 equity incentive plan), or the reporting person's termination of service (as defined in the issuer's 2014 equity incentive plan), or the reporting person's death.
- F7The option is immediately exercisable.