SEC Form 4 · accession 0001140361-16-056453
Evolent Health, Inc. · EVH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frank J Williams
Officer — Chief Executive Officer · Director
Period of report
Mar 1, 2016
Accepted (ET)
Mar 3, 2016 · 7:26 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001628908
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1,F2 | Mar 1, 2016 | A | 48,685 | $0.00 | A | 1,236,685 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock Option (right to buy)F3 | $10.27 | Mar 1, 2016 | A | 108,190 | A | — | Mar 1, 2026 | Class A Common Stock | 108,190 | 1,347,035 | D |
| Class A Common Stock Option (right to buy)F4 | $13.35 | Mar 1, 2016 | A | 54,095 | A | — | Mar 1, 2026 | Class A Common Stock | 54,095 | 1,347,035 | D |
| Class A Common Stock Option (right to buy)F4 | $16.43 | Mar 1, 2016 | A | 54,095 | A | — | Mar 1, 2026 | Class A Common Stock | 54,095 | 1,347,035 | D |
| Class A Common Stock Option (right to buy)F4 | $19.51 | Mar 1, 2016 | A | 54,095 | A | — | Mar 1, 2026 | Class A Common Stock | 54,095 | 1,347,035 | D |
Explanation of responses
- F1Represents restricted stock units granted to Mr. Williams pursuant to the Evolent Health, Inc. 2015 Omnibus Incentive Compensation Plan.
- F2Securities vest at a rate of 25% annually beginning March 1, 2017.
- F3Securities vest at a rate of 25% annually beginning March 1, 2017.
- F4Securities cannot vest before the 3rd anniversary of the grant date. No more than 50% of the securities may vest between the 3rd and 4th anniversaries of the grant date. There is unlimited vesting of the securities after the 4th anniversary of the grant date.