SEC Form 4 · accession 0001209191-16-116521
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Steele
Officer — SVP - Human Resources
Period of report
Apr 28, 2016
Accepted (ET)
Apr 29, 2016 · 5:20 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 Stock | Apr 28, 2016 | M | 17,504 | $5.3074 | A | 28,238 | D | |
| Common Stock | Apr 28, 2016 | S | 17,504 | $82.00 | D | 10,734 | D | |
| Common Stock | Apr 28, 2016 | M | 22,500 | $11.3208 | A | 33,234 | D | |
| Common Stock | Apr 28, 2016 | S | 22,500 | $83.00 | D | 10,734 | D | |
| Common Stock | holding | — | — | — | 6,751 | I | By CS 2012 GRAT (Spouse, Trustee) | |
| Common Stock | holding | — | — | — | 13,501 | I | By JS 2012 GRAT (Spouse, Trustee) | |
| Common Stock | holding | — | — | — | 16,000 | I | By 2015 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)F2,F3,F4 | $5.3074 | Apr 28, 2016 | M | 17,504 | D | — | Jan 30, 2017 | Common Stock | 17,504 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F5,F4 | $11.3208 | Apr 28, 2016 | M | 22,500 | D | — | Jan 30, 2017 | Common Stock | 22,500 | 22,504 | 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.
- F2Exercise 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.
- F3On January 30, 2007, the reporting person was granted an option to purchase 75,008 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.
- F4Shares 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.
- F5The option vested in equal increments at the end of fiscal years 2007, 2008, and 2009 based upon the achievement of certain annual EBITDA performance targets.