SEC Form 4 · accession 0001179110-17-001162
Tabula Rasa HealthCare, Inc. · TRHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Calvin H Knowlton
Officer — Chief Executive Officer · Director · 10% Owner
Period of report
Jan 5, 2017
Accepted (ET)
Jan 23, 2017 · 2:58 pm EST
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 Stock | Jan 5, 2017 | M | 31,958 | $1.70 | A | 730,562 | D | |
| Common Stock | Jan 5, 2017 | M | 2,031 | $1.70 | A | 732,593 | D | |
| Common Stock | Jan 5, 2017 | F | 3,925 | $14.81 | D | 728,668 | D | |
| Common Stock | Jan 5, 2017 | M | 31,958 | $1.70 | A | 736,797 | I | Held by spouse. |
| Common Stock | Jan 5, 2017 | M | 1,879 | $1.70 | A | 738,676 | I | Held by spouse. |
| Common Stock | Jan 5, 2017 | F | 3,907 | $14.81 | D | 734,769 | I | Held by spouse. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $1.70 | Jan 5, 2017 | M | 31,958 | A | — | Jan 6, 2017 | Common Stock | 31,958 | 0 | D |
| Employee Stock Option (right to buy) | $1.70 | Jan 5, 2017 | M | 2,031 | A | Jan 6, 2012 | Jan 6, 2017 | Common Stock | 2,031 | 0 | D |
| Employee Stock Option (right to buy)F2 | $1.70 | Jan 5, 2017 | M | 31,958 | A | — | Jan 6, 2017 | Common Stock | 31,958 | 0 | I |
| Employee Stock Option (Right to Buy) | $1.70 | Jan 5, 2017 | M | 1,879 | A | Jan 6, 2012 | Jan 6, 2017 | Common Stock | 1,879 | 0 | I |
Explanation of responses
- F1The Stock Option vested 25% on January 6, 2013 and in equal 1/36th installments each month thereafter.
- F2The Stock Option vested 25% on January 6, 2013 and in equal 1/36th installments each month thereafter.