SEC Form 4 · accession 0001179110-17-009133
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
Jun 14, 2017
Accepted (ET)
Jun 15, 2017 · 9:51 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 StockF2,F3 | Jun 14, 2017 | S | 8,000 | $14.02 | D | 907,117 | I | Held by spouse. |
| Common StockF4 | holding | — | — | — | 918,362 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Orsula V. Knowlton on May 4, 2017.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $13.72 to $14.41, inclusive. The reporting person undertakes to provide to Tabula Rasa HealthCare, Inc., any security holder of Tabula Rasa HealthCare, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnote (2) to this Form 4.
- F3Orsula Knowlton received a restricted stock award of 267,268 shares of the Company's common stock on September 28, 2016. All such shares of common stock were scheduled to vest on May 31, 2017. Notwithstanding the foregoing, on June 12, 2017, the Company entered into an amendment to the restricted stock award with Orsula Knowlton and, pursuant thereto, all shares underlying such restricted stock award will now vest in full on May 31, 2018.
- F4Dr. Knowlton received a restricted stock award of 337,307 shares of the Company's common stock on September 28, 2016. All such shares of common stock were scheduled to vest on May 31, 2017. Notwithstanding the foregoing, on June 12, 2017, the Company entered into an amendment to the restricted stock award with Dr. Knowlton and, pursuant thereto, all shares underlying such restricted stock award will now vest in full on May 31, 2018.