SEC Form 4 · accession 0001209191-16-116520
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jonathan B Perlin
Officer — Pres-Clinical Services & CMO
Period of report
Apr 27, 2016
Accepted (ET)
Apr 29, 2016 · 5:17 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000860730
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Apr 27, 2016 | M | 1,463 | $5.7847 | A | 15,632 | D | |
| Common StockF2 | Apr 27, 2016 | S | 1,463 | $82.00 | D | 14,169 | D | |
| Common StockF2 | Apr 28, 2016 | M | 28,537 | $5.7847 | A | 42,706 | D | |
| Common StockF2 | Apr 28, 2016 | S | 28,537 | $82.00 | D | 14,169 | D | |
| Common Stock | holding | — | — | — | 913 | I | By 2011 GRAT, Reporting Person Trustee | |
| Common Stock | holding | — | — | — | 3,846 | I | By 2012 GRAT, Reporting Person Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3,F4,F5 | $5.7847 | Apr 27, 2016 | M | 1,463 | D | — | Nov 15, 2017 | Common Stock | 1,463 | 74,592 | D |
| Non-Qualified Stock Option (right to buy)F3,F4,F5 | $5.7847 | Apr 28, 2016 | M | 28,537 | D | — | Nov 15, 2017 | Common Stock | 28,537 | 46,055 | D |
Explanation of responses
- F1The option exercises and sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2Includes 818.13 shares acquired under the HCA Holdings, Inc. Employee Stock Purchase Plan
- F3Exercise Price was adjusted to reflect a 4.505 to 1 stock split that occurred with respect to the Issuer's common stock effective March 9, 2011.
- F4On November 15, 2007, the reporting person was granted an option to purchase 96,055 shares of common stock, which vest upon achievement of certain predetermined investment return targets. 1/3 of the option vested as a result of the achievement of certain specified investment return targets as of the closing of the initial public offering of the Issuer's securities on March 15, 2011, 1/3 of the option vested as a result of the achievement of certain specified investment return targets as of December 31, 2011 and 1/3 of the option vested as a result of the achievement of certain specified investment return targets as of December 31, 2012.
- F5Shares have been adjusted to reflect a 4.505 to 1 stock split that occurred with respect to the Issuer's common stock effective March 9, 2011.