SEC Form 4 · accession 0000899243-18-008664
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
Mar 23, 2018
Accepted (ET)
Mar 27, 2018 · 8:44 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 StockF1,F2 | Mar 23, 2018 | P | 6,200 | $16.0596 | A | 981,873 | D | |
| Common StockF3 | holding | — | — | — | 67,600 | I | See Footnote | |
| Common StockF4 | holding | — | — | — | 213,037 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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 $15.96 and $16.12 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.
- F2Includes 73,294 shares previously held through the Alec Lucas Trust which were distributed to the reporting person on July 15, 2016 and are now owned directly.
- F3Shares of common stock reported on this line are held by IIM Holdings, LLC and IIM Holdings II, LLC, entities controlled by Mr. Lucas. Reflects the transfer of 65,000 shares to Mr. Lucas' ex-wife on October 6, 2016.
- F4Shares of common stock reported on this line are held by the Alec Lucas Trust. Reflects the transfer of 58,530 shares to Mr. Lucas' ex-wife on July 15, 2016 and 66,489 shares to Mr. Lucas' ex-wife on May 8, 2017.
Remarks
The transfers of indirectly owned shares captioned above were not reflected in prior Form 4 filings due to an administrative error.