Horstmeier Paul's Form 4/A amendment
AmendedHealth Catalyst, Inc. (HCAT) · filed Dec 29, 2021
- Accession no.
- 0001562180-21-007900
- Filed
- Dec 29, 2021
- Trade date
- Dec 6, 2021
- Filing delay
- 23 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Dec 7, 2021
This filing lists 4 non-derivative transactions and 1 derivative transaction. Open-market sales total $237.7K. It was filed 23 days after the trade.
This amendment replaces 0001562180-21-007528 (filed Dec 7, 2021).
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Horstmeier PaulCIK 0001780978 | Officer (Chief Operating Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2021 | Common Stock | MOption exerciseAcquired | +6,063 | $15.84 | +$96,037.92 | 105,243 | Direct | |
| Dec 6, 2021 | Common Stock | SSaleDisposed | −600 | $37.97F3 | −$22,782 | 104,643 | Direct | |
| Dec 6, 2021 | Common Stock | SSaleDisposed | −2,674 | $38.76F4 | −$103,644.24 | 101,969 | Direct | |
| Dec 6, 2021 | Common Stock | SSaleDisposed | −2,789 | $39.89F5 | −$111,253.21 | 99,180 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 6, 2021 | Common Stock | MOption exerciseDisposed | −6,063 | $0.00 | $0 | 52,028 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Due to a technical and administrative error, the original Form 4, filed on December 7, 2021, incorrectly reflected a sale of shares of Common Stock by the Reporting Person attributed to a vesting of Restricted Stock Units. We were recently made aware that the Reporting Person exercised options and sold shares from that option exercise. The exercise of those options and sale of shares is correctly reflected herein and the correct ownership tabulations are also included herein.
- F2
The sale reported on this Form 4 was made pursuant to a written trading plan adopted by the Reporting Person on December 15, 2020, in accordance with Rule 10b5-1.
- F3
Represents the weighted average sale price of the shares sold ranging from $37.47 to $38.43 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold ranging from $38.47 to $39.24 per share, inclusive.
Referenced by the price of 1 transaction in Table I.
- F5
Represents the weighted average sale price of the shares sold ranging from $39.66 to $40.22 per share, 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 ranges set forth in Footnotes (3) through (5).
Referenced by the price of 1 transaction in Table I.
- F6
25% of the 186,467 shares underlying the option vested in an annual installment and the remaining balance vested or will vest in equal monthly installments until the option vests in full on February 5, 2023.