SEC Form 4/A · accession 0001144204-17-048782
INDEPENDENCE HOLDING CO · IHC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Roy T K Thung
Officer — CEO, President, and Chairman · Director
Period of report
Aug 7, 2017
Accepted (ET)
Sep 20, 2017 · 11:07 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000701869
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F3,F2 | $9.99 | Aug 7, 2017 | D | 0 | D | — | Mar 8, 2018 | Common Stock | 82,500 | 82,500 | D |
| Stock Option (right to buy)F1,F4,F2 | $9.09 | Aug 7, 2017 | D | 0 | D | — | Jan 4, 2019 | Common Stock | 176,000 | 176,000 | D |
Explanation of responses
- F1The transaction reported in the reporting person's Form 4 filed on August 8, 2017 was reported in error and should be disregarded in its entirety. As of the date of this report, the number of the reporting person's outstanding stock options under the 2006 Plan is as set forth in this report.
- F2The option has fully vested
- F3Granted on March 19, 2008 under the Independence Holding Company 2006 Stock Incentive Plan ("2006 Plan").
- F4Granted on January 5, 2010 under the 2006 Plan.