SEC Form 4 · accession 0001127602-16-046769
HOOPER HOLMES INC · HPHW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven R Balthazor
Officer — Chief Financial Officer
Period of report
Mar 14, 2016
Accepted (ET)
Mar 17, 2016 · 4:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000741815
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 106,967 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to Buy)F1 | $0.15 | Mar 14, 2016 | A | 600,000 | A | — | Mar 14, 2026 | Common Stock | 600,000 | 600,000 | D |
Explanation of responses
- F1Options vest 33% upon each of the first and second anniversaries of the grant date, and 34% upon the third anniversary of the grant date. The grant date is March 14, 2016.