SEC Form 4 · accession 0001179110-19-000867

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

Period of report

Jan 17, 2019

Accepted (ET)

Jan 23, 2019 · 8:35 am 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^F2	Jan 17, 2019	S	2,924	$63.54	D	775,147	I	Held by spouse.
Common Stock^F3	Jan 17, 2019	S	3,396	$64.71	D	771,751	I	Held by spouse.
Common Stock^F4	Jan 17, 2019	S	400	$65.70	D	771,351	I	Held by spouse.
Common Stock^F5	Jan 17, 2019	S	1,080	$66.52	D	770,271	I	Held by spouse.
Common Stock	Jan 17, 2019	S	200	$67.63	D	770,071	I	Held by spouse.
Common Stock	holding	—	—		—	844,419	D
Common Stock	holding	—	—		—	10,000	I	Held by trust for children.
Common Stock	holding	—	—		—	10,000	I	Held by trust for children.

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 15, 2018.
F10The sale in Row 5 of Table I is not matchable under Section 16(b) of the Securities Exchange Act of 1934 against purchases at lower prices by The reporting person on November 12, 2018 because such purchases were previously matched with sales on September 7, 2018 at higher sales prices, and The reporting person has already paid to Tabula Rasa Healthcare, Inc. the full amount of profit realized in connection with the previous short-swing transactions. Thus, no further disgorgement under Section 16(b) would result from the transactions disclosed herein.
F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $63.12 to $64.10, 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 footnotes (2), (3), (4) and (5) to this Form 4.
F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $64.31 to $65.15, inclusive.
F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $65.31 to $66.12, inclusive.
F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $66.37 to $66.92, inclusive.
F6The sales aggregated in Row 1 of Table I are not matchable under Section 16(b) of the Securities Exchange Act of 1934 against purchases at lower prices by The reporting person on November 12, 2018 because such purchases were previously matched with sales on September 7, 2018 at higher sales prices, and The reporting person has already paid to Tabula Rasa Healthcare, Inc. the full amount of profit realized in connection with the previous short-swing transactions. Thus, no further disgorgement under Section 16(b) would result from the transactions disclosed herein.
F7The sales aggregated in Row 2 of Table I are not matchable under Section 16(b) of the Securities Exchange Act of 1934 against purchases at lower prices by The reporting person on November 12, 2018 because such purchases were previously matched with sales on September 7, 2018 at higher sales prices, and The reporting person has already paid to Tabula Rasa Healthcare, Inc. the full amount of profit realized in connection with the previous short-swing transactions. Thus, no further disgorgement under Section 16(b) would result from the transactions disclosed herein.
F8The sales aggregated in Row 3 of Table I are not matchable under Section 16(b) of the Securities Exchange Act of 1934 against purchases at lower prices by The reporting person on November 12, 2018 because such purchases were previously matched with sales on September 7, 2018 at higher sales prices, and The reporting person has already paid to Tabula Rasa Healthcare, Inc. the full amount of profit realized in connection with the previous short-swing transactions. Thus, no further disgorgement under Section 16(b) would result from the transactions disclosed herein.
F9The sales aggregated in Row 4 of Table I are not matchable under Section 16(b) of the Securities Exchange Act of 1934 against purchases at lower prices by The reporting person on November 12, 2018 because such purchases were previously matched with sales on September 7, 2018 at higher sales prices, and The reporting person has already paid to Tabula Rasa Healthcare, Inc. the full amount of profit realized in connection with the previous short-swing transactions. Thus, no further disgorgement under Section 16(b) would result from the transactions disclosed herein.