SEC Form 4 · accession 0001209191-18-007257
HCA Healthcare, Inc. · HCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M Steele
Officer — SVP & Chief Human Res. Officer
Period of report
Jan 31, 2018
Accepted (ET)
Feb 2, 2018 · 8:11 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 | 4,505 | $6.4772 | A | 4,505 | D | |
| Common Stock | Jan 31, 2018 | M | 4,505 | $10.9168 | A | 9,010 | D | |
| Common Stock | Jan 31, 2018 | M | 4,505 | $15.9112 | A | 13,515 | D | |
| Common Stock | Jan 31, 2018 | M | 100,000 | $22.95 | A | 113,515 | D | |
| Common Stock | Jan 31, 2018 | F | 57,879 | $101.16 | D | 55,636 | 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 | — | — | — | 7,222 | I | By 2015 GRAT (Reporting Person, Trustee) | |
| Common Stock | holding | — | — | — | 30,835 | I | By 2017 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)F1,F2 | $6.4772 | Jan 31, 2018 | M | 4,505 | D | Aug 27, 2011 | Aug 27, 2019 | Common Stock | 4,505 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1,F2 | $10.9168 | Jan 31, 2018 | M | 4,505 | D | Aug 27, 2010 | Aug 27, 2019 | Common Stock | 4,505 | 0 | D |
| Non-Qualified Stock Option (right to buy)F1,F3,F2 | $15.9112 | Jan 31, 2018 | M | 4,505 | D | — | Aug 27, 2019 | Common Stock | 4,505 | 0 | D |
| Stock Appreciation RightF4 | $22.95 | Jan 31, 2018 | M | 50,000 | D | — | Feb 8, 2022 | Common Stock | 50,000 | 0 | D |
| Stock Appreciation RightF5 | $22.95 | Jan 31, 2018 | M | 50,000 | D | — | Feb 8, 2022 | Common Stock | 50,000 | 0 | D |
| Stock Appreciation RightF6 | $101.16 | Jan 31, 2018 | A | 27,450 | A | Jan 31, 2019 | Jan 31, 2028 | Common Stock | 27,450 | 27,450 | D |
Explanation of responses
- F1Exercise 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.
- F2Shares 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.
- F3The option vested at the end of fiscal year 2009 based upon the achievement of certain annual EBITDA performance targets.
- 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 rights vested in four equal annual installments beginning on February 8, 2013.
- F6The stock appreciation rights vest in four equal annual installments beginning on January 31, 2019.