SEC Form 4 · accession 0001140361-17-004436
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Manu S Rana
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 9:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001428336
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | Feb 1, 2017 | A | 862 | A | — | — | Common Stock | 862 | 862 | D |
| Stock Option (right to buy)F3 | $46.40 | Feb 1, 2017 | A | 9,675 | A | — | Feb 1, 2027 | Common Stock | 9,675 | 9,675 | D |
| Stock Option (right to buy)F4 | $21.27 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 15,000 | 15,000 | D |
| Restricted Stock UnitF1,F5 | — | holding | — | — | — | — | — | Common Stock | 795 | 795 | D |
| Stock Option (right to buy)F4 | $1.25 | holding | — | — | — | — | Oct 25, 2021 | Common Stock | 7,500 | 7,500 | D |
| Stock Option (right to buy)F4 | $1.25 | holding | — | — | — | — | Apr 26, 2022 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F4 | $1.50 | holding | — | — | — | — | May 9, 2023 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F4 | $14.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F4 | $25.39 | holding | — | — | — | — | Mar 26, 2025 | Common Stock | 15,000 | 15,000 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.
- F2The restricted stock units vested as to 215 shares on February 1, 2017. The remaining restricted stock units vest as to 215 shares on May 1, 2017 and in two equal installments of 216 shares on August 1, 2017, and November 1, 2017. Vested shares will be delivered to the reporting person on February 1, 2018, unless such date does not occur during an "open window period," in which case the shares will be delivered promptly following the first day of the next "open window period."
- F3The option becomes exercisable as to 4,837 shares on the date of the issuer's annual stockholder meeting, if any, held in the current fiscal year; the option becomes exercisable as to the remaining shares on January 31, 2018.
- F4The option is immediately exercisable.
- F5The restricted stock units are fully vested. 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, unless such event does not occur during an "open window period," in which case the shares will be delivered promptly following the first day of the next "open window period."
Remarks
Exhibit List: Exhibit 24 - Power of Attorney