SEC Form 4 · accession 0001628908-18-000057
Evolent Health, Inc. · EVH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth Blackley
Officer — President · Director
Period of report
Jul 3, 2018
Accepted (ET)
Jul 6, 2018 · 4:29 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,F3 | Jul 3, 2018 | S | 49,099 | $22.16 | D | 197,304 | D | |
| Class A Common StockF3 | Jul 3, 2018 | M | 48,930 | $3.84 | A | 246,234 | D | |
| Class A Common StockF4,F3 | Jul 3, 2018 | S | 48,930 | $22.16 | D | 197,304 | D | |
| Class A Common StockF6,F3 | Jul 5, 2018 | S | 33,467 | $22.52 | D | 163,837 | D | |
| Class A Common StockF3 | Jul 5, 2018 | M | 32,643 | $3.84 | A | 196,480 | D | |
| Class A Common StockF7,F3 | Jul 5, 2018 | S | 32,643 | $22.51 | D | 163,837 | 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 Option (Right to Buy)F5 | $3.84 | Jul 3, 2018 | M | 48,930 | D | — | Apr 1, 2024 | Class A Common Stock | 48,930 | 400,237 | D |
| Class A Common Option (Right to Buy)F8 | $3.84 | Jul 5, 2018 | M | 32,643 | D | — | Apr 1, 2024 | Class A Common Stock | 32,643 | 367,594 | 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 March 14, 2018.
- F2The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $21.60-$22.60, 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.
- F3Includes restricted stock units under awards reported on Table 1 of Form 4s previously filed with the Securities and Exchange Commission.
- F4The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $21.60-$22.60, 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 exercised vested on December 1, 2014.
- F6The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $22.250-$22.775, 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.
- F7The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $22.250-$22.775, 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.
- F8The Class A Common Stock Options exercised vested on December 1, 2014 and December 1, 2015.