SEC Form 4 · accession 0001209191-18-006619
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Joseph A Sowell III
Officer — SVP; Chief Development Officer
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 9:02 pm EST
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 | Jan 30, 2018 | M | 22,025 | $13.2542 | A | 27,411 | D | |
| Common Stock | Jan 30, 2018 | M | 64,346 | $22.95 | A | 91,757 | D | |
| Common Stock | Jan 30, 2018 | S | 22,025 | $101.86 | D | 69,732 | D | |
| Common Stock | Jan 30, 2018 | F | 32,751 | $101.45 | D | 36,981 | D | |
| Common Stock | holding | — | — | — | 8,000 | I | By Trust (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 | $13.2542 | Jan 30, 2018 | M | 22,025 | D | Feb 10, 2012 | Feb 10, 2020 | Common Stock | 22,025 | 0 | D |
| Stock Appreciation RightF4 | $22.95 | Jan 30, 2018 | M | 62,500 | D | — | Feb 8, 2022 | Common Stock | 62,500 | 0 | D |
| Stock Appreciation RightF5 | $22.95 | Jan 30, 2018 | M | 1,846 | D | — | Feb 8, 2022 | Common Stock | 1,846 | 60,654 | D |
Explanation of responses
- F1The exercise of options, exercise of stock appreciation rights 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.
- F3Shares 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.
- F4The 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.
- F5The stock appreciation right vested in four equal annual installments beginning on February 8, 2013.