SEC Form 4 · accession 0001209191-18-007226
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Samuel N Hazen
Officer — President & COO
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 7:40 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 31, 2018 | M | 84,464 | $13.2075 | A | 136,017 | D | |
| Common Stock | Jan 31, 2018 | M | 84,450 | $17.6471 | A | 220,467 | D | |
| Common Stock | Jan 31, 2018 | M | 253,352 | $22.6415 | A | 473,819 | D | |
| Common Stock | Jan 31, 2018 | F | 188,219 | $101.16 | D | 285,600 | D | |
| Common StockF1 | Jan 31, 2018 | S | 56,000 | $100.4676 | D | 229,600 | D | |
| Common Stock | holding | — | — | — | 180,000 | I | By LLC | |
| Common Stock | holding | — | — | — | 144,584 | I | By 2015 GRAT (Reporting Person, Trustee) | |
| Common Stock | holding | — | — | — | 170,752 | I | By Trust (Spouse, Trustee) | |
| Common Stock | holding | — | — | — | 75,000 | I | By LLC 92 |
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 | $13.2075 | Jan 31, 2018 | M | 84,464 | D | Nov 17, 2011 | Oct 6, 2019 | Common Stock | 84,464 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F3 | $17.6471 | Jan 31, 2018 | M | 84,450 | D | Nov 17, 2010 | Oct 6, 2019 | Common Stock | 84,450 | 0 | D |
| Non-Qualified Stock Option (right to buy)F2,F4,F3 | $22.6415 | Jan 31, 2018 | M | 253,352 | D | — | Oct 6, 2019 | Common Stock | 253,352 | 0 | D |
| Stock Appreciation RightF5 | $101.16 | Jan 31, 2018 | A | 109,780 | A | Jan 31, 2019 | Jan 31, 2028 | Common Stock | 109,780 | 109,780 | 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 $100.24 to $100.67, inclusive. The reporting person undertakes to provide to HCA Healthcare, Inc., any security holder of HCA Healthcare, 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.
- 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.
- F4Two thirds of the option was vested upon grant on October 6, 2009, and one third of the option vested on November 17, 2009
- F5The stock appreciation rights vest in four equal annual installments beginning on January 31, 2019.