SEC Form 4 · accession 0001654824-17-000001
Evolent Health, Inc. · EVH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lydia Stone
Officer — Principal Accounting Officer
Period of report
Jun 1, 2017
Accepted (ET)
Jun 5, 2017 · 6:35 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 StockF1 | Jun 1, 2017 | S | 887 | $22.95 | D | 9,587 | D | |
| Class A Common StockF1 | Jun 1, 2017 | M | 1,000 | $6.87 | A | 10,587 | D | |
| Class A Common StockF1 | Jun 1, 2017 | S | 1,000 | $23.04 | D | 9,587 | D | |
| Class A Common StockF1 | Jun 1, 2017 | M | 2,908 | $10.27 | A | 12,495 | D | |
| Class A Common StockF2,F1 | Jun 1, 2017 | S | 2,908 | $22.87 | D | 9,587 | 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 | $6.87 | Jun 1, 2017 | M | 1,000 | D | — | Jan 1, 2025 | Class A Common Stock | 1,000 | 2,000 | D |
| Class A Common Stock Option (right to buy)F4 | $10.27 | Jun 1, 2017 | M | 2,908 | D | — | Mar 1, 2026 | Class A Common Stock | 2,908 | 8,722 | D |
Explanation of responses
- F1Includes restricted stock units under awards reported on Table 1 of Form 4s previously filed with the Securities and Exchange Commission.
- F2The price reported in Column 4 is a weighted average. These shares were sold in multiple transactions at prices ranging from $22.75-23.00, 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 prices within the range set forth in this footnote.
- F3The Class A Common Stock Options exercised vested on January 1, 2017.
- F4The Class A Common Stock Options exercised vested on March 1, 2017.