SEC Form 4 · accession 0000899243-17-027793
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 30, 2017
Accepted (ET)
Dec 1, 2017 · 4:05 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 Stock | Nov 30, 2017 | M | 17,762 | $16.89 | A | 830,959 | D | |
| Common StockF1 | holding | — | — | — | 122,020 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 494,612 | I | See Footnote |
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)F3 | $16.89 | Nov 30, 2017 | M | 17,762 | D | Dec 2, 2014 | Dec 2, 2017 | Common Stock | 17,762 | 482,238 | D |
Explanation of responses
- F1Shares of common stock reported on this line are held by IIM Holdings, LLC and IIM Holdings II, LLC, entities controlled by Mr. Lucas.
- F2Shares of common stock reported on this line are held by the Alec Lucas Trust.
- F3Date at which first vesting occurs is indicated. Fifty percent (50%) of the shares originally subject to the option became exercisable at the first vesting date, and the remaining fifty percent (50%) became exercisable on April 30, 2015.