SEC Form 4 · accession 0001179110-17-001366

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 26, 2017

Accepted (ET)

Jan 30, 2017 · 9:47 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 26, 2017	M	1,015	$1.71	A	729,683	D
Common Stock	Jan 26, 2017	M	6,280	$2.35	A	735,963	D
Common Stock	Jan 26, 2017	M	25,773	$3.42	A	761,736	D
Common Stock	Jan 26, 2017	M	3,810	$3.42	A	765,546	D
Common Stock	Jan 26, 2017	M	257,061	$3.42	A	1,022,607	D
Common Stock	Jan 26, 2017	M	4,254	$6.41	A	1,026,861	D
Common Stock	Jan 26, 2017	M	27,062	$6.41	A	1,053,923	D
Common Stock	Jan 26, 2017	M	18,041	$6.41	A	1,071,964	D
Common Stock	Jan 26, 2017	M	1,860	$6.41	A	1,073,824	D
Common Stock	Jan 26, 2017	F	158,988	$14.53	D	914,836	D
Common Stock	Jan 26, 2017	M	939	$1.71	A	735,708	I	Held by spouse.
Common Stock	Jan 26, 2017	M	5,809	$2.35	A	741,517	I	Held by spouse.
Common Stock	Jan 26, 2017	M	25,773	$3.42	A	767,290	I	Held by spouse.
Common Stock	Jan 26, 2017	M	3,524	$3.42	A	770,814	I	Held by spouse.
Common Stock	Jan 26, 2017	M	257,061	$3.42	A	1,027,875	I	Held by spouse.
Common Stock	Jan 26, 2017	M	3,261	$6.41	A	1,031,136	I	Held by spouse.
Common Stock	Jan 26, 2017	M	27,062	$6.41	A	1,058,198	I	Held by spouse.
Common Stock	Jan 26, 2017	M	18,041	$6.41	A	1,076,239	I	Held by spouse.
Common Stock	Jan 26, 2017	M	1,662	$6.41	A	1,077,901	I	Held by spouse.
Common Stock	Jan 26, 2017	F	158,310	$14.53	D	919,591	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)	$1.71	Jan 26, 2017	M	1,015	D	Mar 1, 2012	Mar 1, 2017	Common Stock	1,015	0	D
Employee Stock Option (right to buy)	$2.35	Jan 26, 2017	M	6,280	D	Dec 20, 2012	Dec 20, 2017	Common Stock	6,280	0	D
Employee Stock Option (right to buy)^F1	$3.42	Jan 26, 2017	M	25,773	D	—	Jan 2, 2018	Common Stock	25,773	0	D
Employee Stock Option (right to buy)	$3.42	Jan 26, 2017	M	3,810	D	Jan 22, 2013	Jan 22, 2018	Common Stock	3,810	0	D
Employee Stock Option (right to buy)^F2	$3.42	Jan 26, 2017	M	257,061	D	—	Jun 28, 2018	Common Stock	257,061	36,723	D
Employee Stock Option (right to buy)	$6.41	Jan 26, 2017	M	4,254	D	Jan 1, 2014	Jan 1, 2019	Common Stock	4,254	0	D
Employee Stock Option (right to buy)^F3	$6.41	Jan 26, 2017	M	27,062	D	—	Jan 1, 2019	Common Stock	27,062	9,020	D
Employee Stock Option (right to buy)^F4	$6.41	Jan 26, 2017	M	18,041	D	—	Jan 1, 2020	Common Stock	18,041	18,041	D
Employee Stock Option (right to buy)	$6.41	Jan 26, 2017	M	1,860	D	Feb 1, 2015	Feb 1, 2020	Common Stock	1,860	0	D
Employee Stock Option (right to buy)	$1.71	Jan 26, 2017	M	939	D	Mar 1, 2012	Mar 1, 2017	Common Stock	939	0	I
Employee Stock Option (right to buy)	$2.35	Jan 26, 2017	M	5,809	D	Dec 20, 2012	Dec 20, 2017	Common Stock	5,809	0	I
Employee Stock Option (right to buy)^F5	$3.42	Jan 26, 2017	M	25,773	D	—	Jan 2, 2018	Common Stock	25,773	0	I
Employee Stock Option (right to buy)	$3.42	Jan 26, 2017	M	3,524	D	Jan 22, 2013	Jan 22, 2018	Common Stock	3,524	0	I
Employee Stock Option (right to buy)^F6	$3.42	Jan 26, 2017	M	257,061	D	—	Jun 28, 2018	Common Stock	257,061	36,723	I
Employee Stock Option (right to buy)	$6.41	Jan 26, 2017	M	3,261	D	Jan 1, 2014	Jan 1, 2019	Common Stock	3,261	0	I
Employee Stock Option (right to buy)^F7	$6.41	Jan 26, 2017	M	27,062	D	—	Jan 1, 2019	Common Stock	27,062	9,020	I
Employee Stock Option (right to buy)^F8	$6.41	Jan 26, 2017	M	18,041	D	—	Jan 1, 2020	Common Stock	18,041	18,041	I
Employee Stock Option (right to buy)	$6.41	Jan 26, 2017	M	1,662	D	Feb 1, 2015	Feb 1, 2020	Common Stock	1,662	0	I

Explanation of responses

F1The Stock Option vests 25% on January 2, 2014 and in equal 1/36th installments each month thereafter.
F2The Stock Option vests 25% on June 28, 2014 and in equal 1/36th installments each month thereafter.
F3The Stock Option vests 25% on January 1, 2015 and in equal 1/36th installments each month thereafter.
F4The Stock Option vests 25% on January 1, 2016 and in equal 1/36th installments each month thereafter.
F5The Stock Option vests 25% on January 2, 2014 and in equal 1/36th installments each month thereafter.
F6The Stock Option vests 25% on June 28, 2014 and in equal 1/36th installments each month thereafter.
F7The Stock Option vests 25% on January 1, 2015 and in equal 1/36th installments each month thereafter.
F8The Stock Option vests 25% on January 1, 2016 and in equal 1/36th installments each month thereafter.