SEC Form 4 · accession 0001140361-17-012981
HEALTHEQUITY, INC. · HQY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Darcy G Mott
Officer — Executive VP and CFO
Period of report
Mar 20, 2017
Accepted (ET)
Mar 22, 2017 · 8:00 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 | Mar 20, 2017 | M | 8,000 | $0.10 | A | 72,000 | D | |
| Common Stock | Mar 20, 2017 | M | 6,000 | $0.10 | A | 78,000 | D | |
| Common Stock | Mar 20, 2017 | S | 10,000 | $45.92 | D | 68,000 | 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 | $0.10 | Mar 20, 2017 | M | 8,000 | D | — | Jun 20, 2017 | Common Stock | 8,000 | 0 | D |
| Stock Option (right to buy)F2 | $0.10 | Mar 20, 2017 | M | 6,000 | D | — | May 22, 2018 | Common Stock | 6,000 | 14,000 | D |
| Stock Option (right to buy)F2 | $14.00 | holding | — | — | — | — | Jul 30, 2024 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F2 | $1.25 | holding | — | — | — | — | Aug 8, 2021 | Common Stock | 125,000 | 125,000 | D |
| Stock Option (right to buy)F3 | $25.39 | holding | — | — | — | — | Mar 26, 2025 | Common Stock | 25,000 | 25,000 | D |
Explanation of responses
- F1The option exercise and subsequent sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 15, 2015.
- F2The option is immediately exercisable.
- F3The option became exercisable as to 6,250 shares on March 26, 2016. The remaining shares become exercisable in three equal annual installments of 6,250 shares on March 26, 2017, 2018 and 2019.