SEC Form 4 · accession 0001104659-16-148647
Tabula Rasa HealthCare, Inc. · TRHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joann M. Durham
10% Owner
Period of report
Oct 4, 2016
Accepted (ET)
Oct 4, 2016 · 5:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001651561
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Oct 4, 2016 | X | 7,731 | $0.48 | A | 811,398 | I | By Husband |
| Common StockF1 | Oct 4, 2016 | S | 1,063 | $12.00 | D | 810,335 | I | By Husband |
| Common Stock | Oct 4, 2016 | X | 12,886 | $0.48 | A | 12,886 | D | |
| Common Stock | Oct 4, 2016 | X | 264 | $3.10 | A | 13,150 | D | |
| Common Stock | Oct 4, 2016 | X | 660 | $3.10 | A | 13,810 | D | |
| Common Stock | Oct 4, 2016 | X | 684 | $3.10 | A | 14,494 | D | |
| Common Stock | Oct 4, 2016 | X | 684 | $3.10 | A | 15,178 | D | |
| Common Stock | Oct 4, 2016 | X | 661 | $3.10 | A | 15,839 | D | |
| Common Stock | Oct 4, 2016 | X | 684 | $3.10 | A | 16,523 | D | |
| Common Stock | Oct 4, 2016 | X | 661 | $3.10 | A | 17,184 | D | |
| Common Stock | Oct 4, 2016 | X | 684 | $3.10 | A | 17,868 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 18,232 | D | |
| Common Stock | Oct 4, 2016 | X | 329 | $5.82 | A | 18,561 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 18,925 | D | |
| Common Stock | Oct 4, 2016 | X | 353 | $5.82 | A | 19,278 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 19,642 | D | |
| Common Stock | Oct 4, 2016 | X | 353 | $5.82 | A | 19,995 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 20,359 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 20,723 | D | |
| Common Stock | Oct 4, 2016 | X | 353 | $5.82 | A | 21,076 | D | |
| Common Stock | Oct 4, 2016 | X | 364 | $5.82 | A | 21,440 | D | |
| Common Stock | Oct 4, 2016 | X | 353 | $5.82 | A | 21,793 | D | |
| Common Stock | Oct 4, 2016 | X | 90 | $5.82 | A | 21,883 | D | |
| Common Stock | Oct 4, 2016 | S | 3,007 | $12.00 | D | 18,876 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (Right to Buy) | $0.48 | Oct 4, 2016 | M | 7,731 | D | May 1, 2009 | May 1, 2019 | Common Stock | 7,731 | 0 | I |
| Warrant (Right to Buy) | $0.48 | Oct 4, 2016 | M | 12,886 | D | May 1, 2009 | May 1, 2019 | Common Stock | 12,886 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 264 | D | May 15, 2013 | May 15, 2023 | Common Stock | 264 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 660 | D | Jun 15, 2013 | Jun 15, 2023 | Common Stock | 660 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 684 | D | Jul 15, 2013 | Jul 15, 2023 | Common Stock | 684 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 684 | D | Aug 15, 2013 | Aug 15, 2023 | Common Stock | 684 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 661 | D | Sep 15, 2013 | Sep 15, 2023 | Common Stock | 661 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 684 | D | Oct 15, 2013 | Oct 15, 2023 | Common Stock | 684 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 661 | D | Nov 15, 2013 | Nov 15, 2023 | Common Stock | 661 | 0 | D |
| Warrant (Right to Buy) | $3.10 | Oct 4, 2016 | M | 684 | D | Dec 15, 2013 | Dec 15, 2023 | Common Stock | 684 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | Jan 15, 2014 | Jan 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 329 | D | Feb 15, 2014 | Feb 15, 2024 | Common Stock | 329 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | Mar 15, 2014 | Mar 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 353 | D | Apr 15, 2014 | Apr 15, 2024 | Common Stock | 353 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | May 15, 2014 | May 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 353 | D | Jun 15, 2014 | Jun 15, 2024 | Common Stock | 353 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | Jul 15, 2014 | Jul 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | Aug 15, 2014 | Aug 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 353 | D | Sep 15, 2014 | Sep 15, 2024 | Common Stock | 353 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 364 | D | Oct 15, 2014 | Oct 15, 2024 | Common Stock | 364 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 353 | D | Nov 15, 2014 | Nov 15, 2024 | Common Stock | 353 | 0 | D |
| Warrant (Right to Buy) | $5.82 | Oct 4, 2016 | M | 90 | D | Dec 15, 2014 | Dec 15, 2024 | Common Stock | 90 | 0 | D |
Explanation of responses
- F1The Form 3 filed on September 28, 2016 for the Reporting Person reported that she directly owned 803,425 shares of common stock, however the Reporting Person owned 803,667 shares of common stock. The additional 242 shares not previously reported have been included in the above given totals.