SEC Form 4 · accession 0001628908-17-000037
Evolent Health, Inc. · EVH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Peterson III
Officer — Chief Operating Officer
Period of report
Jul 24, 2017
Accepted (ET)
Jul 26, 2017 · 4:43 pm EDT
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 StockF2 | Jul 24, 2017 | M | 14,033 | $3.84 | A | 153,318 | D | |
| Class A Common StockF3,F2 | Jul 24, 2017 | S | 14,033 | $26.00 | D | 139,285 | D | |
| Class A Common StockF4,F2 | Jul 24, 2017 | S | 26,507 | $26.00 | D | 112,778 | 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)F5 | $3.84 | Jul 24, 2017 | M | 14,033 | D | — | Apr 1, 2024 | Class A Common Stock | 14,033 | 178,274 | D |
Explanation of responses
- F1The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 24, 2017.
- F2Includes restricted stock units under awards reported on Table 1 of Form 4s previously filed with the Securities and Exchange Commission.
- F3The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $26.00-$26.025, inclusive. The reporting person undertakes to provide to Evolent Health, Inc., any security holder of Evolent Health, Inc., or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $26.00-$26.025, inclusive. The reporting person undertakes to provide to Evolent Health, Inc., any security holder of Evolent Health, Inc., or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F5The Class A Common Stock Options vested on December 1, 2014.