SEC Form 4 · accession 0001628908-18-000070
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
Sep 13, 2018
Accepted (ET)
Sep 14, 2018 · 4:47 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 | Sep 13, 2018 | M | 70,000 | $3.84 | A | 137,868 | D | |
| Class A Common StockF3,F2 | Sep 13, 2018 | S | 70,000 | $27.50 | D | 67,868 | 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)F4 | $3.84 | Sep 13, 2018 | M | 70,000 | D | — | Apr 1, 2024 | Class A Common Stock | 70,000 | 108,274 | 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 March 14, 2018.
- 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 $27.50-$27.55, 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 Class A Common Stock Options exercised vested on December 1, 2014 and December 1, 2015.