Accession Number: | 0001104659-16-141457 |
Date: | 2016-08-23 |
Issuer: | HEALTHEQUITY INC (HQY) |
Original Submission Date: |
NEELEMAN STEPHEN
C/O HEALTHEQUITY, INC.
15 W. SCENIC POINTE DR., STE. 100
DRAPER, UT 84020
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2016-08-23 | M | 9,898 | a | $1.25 | 9,898 | direct | ||
COMMON STOCK | 2016-08-23 | S | 9,898 | d | $30.28 | 0 | direct | ||
COMMON STOCK | 2016-08-23 | 0 | $0.00 | 865,285 | indirect | f3 | |||
COMMON STOCK | 2016-08-23 | 0 | $0.00 | 450,000 | indirect | f4 |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
---|---|---|---|---|---|---|---|---|---|---|---|---|
STOCK OPTION (RIGHT TO BUY) | 1.25 | 2016-08-23 | deemed execution date | M | 9,898 (a) | 2021-08-08 | common stock 9,898 | $1.25 | 93,654 | direct | ||
STOCK OPTION (RIGHT TO BUY) | 14.0 | 2016-08-23 | deemed execution date | 0 ( ) | 2024-07-30 | common stock 20,000 | $14.00 | 20,000 | direct |
ID | footnote |
---|---|
f1 | the option exercises and subsequent sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on september 16, 2015. |
f2 | the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $30.00 to $30.39, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, 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 (2) to this form 4. |
f3 | shares held of record by the stephen and christine neeleman trust. |
f4 | shares held of record by neeleman family holdings, llc ("family holdings"), a utah limited liability company. the reporting person is the manager of family holdings. the reporting person disclaims beneficial ownership of the shares held by family holdings except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of the shares held by family holdings for any other purposes. |
f5 | the option is immediately exercisable. |