SEC Form 4 · accession 0001140361-16-076051
Health Insurance Innovations, Inc. · HIIQ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Josef A. Denother
Officer — Chief Operating Officer
Period of report
Aug 11, 2016
Accepted (ET)
Aug 12, 2016 · 10:38 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001561387
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Aug 11, 2016 | P | 1,000 | $4.60 | A | 1,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF1 | $4.99 | holding | — | — | — | — | Sep 16, 2022 | Class A Common Stock | 10,000 | 10,000 | D |
| Stock Appreciation RightsF1 | $3.90 | holding | — | — | — | — | Jul 20, 2023 | Class A Common Stock | 29,239 | 29,239 | D |
Explanation of responses
- F1These stock-settled stock appreciation rights were granted under the Issuer's Long-Term Incentive Plan and vest 25% on the first anniversary of grant date, 25% on the second anniversary of grant date, and 50% on the third anniversary of grant date, subject to the terms of the Long-Term Incentive Plan and an award agreement under the Long-Term Incentive Plan.