SEC Form 4 · accession 0000899243-15-007760
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
Nov 4, 2015
Accepted (ET)
Nov 6, 2015 · 7:29 pm EST
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 StockF1 | Nov 4, 2015 | A | 750,000 | $0.00 | A | 776,155 | D | |
| Common StockF2 | holding | — | — | — | 55,720 | I | See Footnote | |
| Common StockF3 | holding | — | — | — | 132,600 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 22,418 | I | See Footnote | |
| Common StockF5 | holding | — | — | — | 494,612 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a grant of restricted stock pursuant to the Heritage Insurance Holdings, Inc. Omnibus Incentive Plan. The restricted stock vests in five equal annual installments beginning on November 4, 2016.
- F2Shares of common stock reported on this line are held by Mr. Lucas and his wife as tenants by the entirety.
- F3Shares of common stock reported on this line are held by IIM Holdings, LLC and IIM Holdings II, LLC, entities controlled by Mr. Lucas.
- F4Shares of common stock reported on this line are held by Mr. Lucas' wife.
- F5Shares of common stock reported on this line are held by the Bruce Lucas Irrevocable Grantor Retained Annuity Trust of 2014.