SEC Form 4 · accession 0001209191-16-118271
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alan R Yuspeh
Officer — SVP & Chief Ethics Officer
Period of report
May 4, 2016
Accepted (ET)
May 6, 2016 · 7:46 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 | May 4, 2016 | M | 75,000 | $22.95 | A | 98,532 | D | |
| Common Stock | May 4, 2016 | M | 41,250 | $37.18 | A | 139,782 | D | |
| Common Stock | May 4, 2016 | M | 17,500 | $47.97 | A | 157,282 | D | |
| Common Stock | May 4, 2016 | F | 85,054 | $79.80 | D | 72,228 | D | |
| Common StockF1 | May 6, 2016 | S | 20,000 | $80.8692 | D | 52,228 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF2 | $22.95 | May 4, 2016 | M | 37,500 | D | — | Feb 8, 2022 | Common Stock | 37,500 | 0 | D |
| Stock Appreciation RightF3 | $22.95 | May 4, 2016 | M | 37,500 | D | — | Feb 8, 2022 | Common Stock | 37,500 | 0 | D |
| Stock Appreciation RightF4 | $37.18 | May 4, 2016 | M | 20,625 | D | — | Feb 6, 2023 | Common Stock | 20,625 | 0 | D |
| Stock Appreciation RightF5 | $37.18 | May 4, 2016 | M | 20,625 | D | — | Feb 6, 2023 | Common Stock | 20,625 | 0 | D |
| Stock Appreciation RightF6 | $47.97 | May 4, 2016 | M | 8,750 | D | — | Feb 5, 2024 | Common Stock | 8,750 | 0 | D |
| Stock Appreciation RightF7 | $47.97 | May 4, 2016 | M | 8,750 | D | — | Feb 5, 2024 | Common Stock | 8,750 | 0 | 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 $80.82 to $80.98, inclusive. The reporting person undertakes to provide to HCA Holdings, Inc., any security holder of HCA Holdings, Inc., 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.
- F2The stock appreciation rights vested at the end of fiscal years 2012, 2013, 2014 and 2015 based upon the achievement of certain annual EBITDA performance targets.
- F3The stock appreciation rights vested in four equal annual installments beginning on February 8, 2013.
- F4The stock appreciation rights vested at the end of fiscal years 2013, 2014 and 2015 based upon the achievement of certain annual EBITDA performance targets.
- F5The stock appreciation rights vested in three equal annual installments beginning on February 6, 2014.
- F6The stock appreciation rights vested at the end of fiscal years 2014 and 2015 based upon the achievement of certain annual EBITDA performance targets.
- F7The stock appreciation rights vested in two equal annual installments beginning on February 5, 2015.