SEC Form 4 · accession 0001140361-17-004439
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ian Sacks
Director
Period of report
Feb 1, 2017
Accepted (ET)
Feb 3, 2017 · 9:07 pm EST
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 | — | — | — | 173,417 | D |
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 | 3,556 | A | — | — | Common Stock | 3,556 | 3,556 | D |
| Stock Option (right to buy)F3 | $21.27 | holding | — | — | — | — | Feb 1, 2026 | Common Stock | 15,000 | 15,000 | D |
| Restricted Stock UnitsF1,F4 | — | holding | — | — | — | — | — | Common Stock | 1,342 | 1,342 | D |
| Stock Option (right to buy)F3 | $14.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 15,000 | 15,000 | D |
| Stock Option (right to buy)F3 | $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 will vest as to 1,778 shares on the date of the issuer's annual stockholder meeting, if any, held in the current fiscal year; the remainder will vest on January 31, 2018. Vested shares will be delivered to the reporting person upon vesting, unless such vesting 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."
- F3These options are immediately exercisable.
- F4The restricted stock units are fully vested. Vested shares will be delivered to the reporting person on January 1, 2018, unless such vesting 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