SEC Form 4 · accession 0000899243-15-001146
Heritage Insurance Holdings, Inc. · HRTG
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bruce Lucas
Officer — Chairman & CEO · Director
Period of report
Jul 9, 2015
Accepted (ET)
Jul 13, 2015 · 5:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001598665
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Jul 9, 2015 | S | 93,900 | $24.9896 | D | 153,520 | I | See Footnote |
| Common StockF4,F3 | Jul 10, 2015 | S | 20,920 | $24.9173 | D | 132,600 | I | See Footnote |
| Common StockF4,F5 | Jul 10, 2015 | S | 35,180 | $24.9173 | D | 55,720 | I | See Footnote |
| Common Stock | holding | — | — | — | 26,155 | D | ||
| Common StockF6 | holding | — | — | — | 22,418 | I | See Footnote | |
| Common StockF7 | holding | — | — | — | 494,612 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported on this line were made pursuant to a 10b5-1 plan adopted by the Reporting Person on March 9, 2015.
- F2The price is the weighted average price for the transactions reported on this line. The range of prices for the transactions reported on this line is between $24.88 and $25.23 per share. Complete information regarding the number of shares purchased at each separate price will be provided upon request by the Commission Staff, the issuer or a security holder of the issuer.
- F3Shares of common stock reported on this line are held by IIM Holdings, LLC and IIM Holdings II, LLC, entities controlled by Mr. Lucas.
- F4The price is the weighted average price for the transactions reported on this line. The range of prices for the transactions reported on this line is between $24.65 and $25.10 per share. Complete information regarding the number of shares purchased at each separate price will be provided upon request by the Commission Staff, the issuer or a security holder of the issuer.
- F5Shares of common stock reported on this line are held by Mr. Lucas and his wife as tenants by the entirety.
- F6Shares of common stock reported on this line are held by Mr. Lucas' wife.
- F7Shares of common stock reported on this line are held by the Bruce Lucas Irrevocable Grantor Retained Annuity Trust of 2014.
Remarks
The number of shares beneficially owned reflect certain changes in the form of beneficial ownership of Mr. Lucas' holdings.