SEC Form 4 · accession 0001726978-19-000044
Goosehead Insurance, Inc. · GSHD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark S. Colby
Officer — Chief Financial Officer
Period of report
Feb 15, 2019
Accepted (ET)
Feb 15, 2019 · 5:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001726978
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class B Common Stock | Feb 15, 2019 | C | 2,064 | $0.00 | D | 100,968 | D | |
| Class A Common Stock | Feb 15, 2019 | C | 2,064 | $0.00 | A | 39,201 | D | |
| Class A Common StockF1 | Feb 15, 2019 | S | 2,064 | $31.7382 | D | 37,137 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| LLC Units in Goosehead Financial, LLCF2 | $0.00 | Feb 15, 2019 | C | 2,064 | D | — | — | Class A Common Stock | 2,064 | 100,968 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $32.31, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
- F2Each LLC Unit, together with a share of Class B Common Stock, may be converted by the holder into one share of Class A Common Stock at any time. The LLC units do not expire.
Remarks
The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.