Horstmeier Paul's Form 4/A amendment
AmendedHealth Catalyst, Inc. (HCAT) · filed Apr 8, 2022
- Accession no.
- 0001562180-22-003346
- Filed
- Apr 8, 2022
- Trade date
- Mar 9, 2022
- Filing delay
- 30 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
- Original filed
- Mar 11, 2022
This filing lists 4 non-derivative transactions and 2 derivative transactions. Open-market sales total $524.9K. It was filed 30 days after the trade.
This amendment replaces 0001562180-22-002559 (filed Mar 11, 2022).
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 |
|---|---|---|---|---|---|---|---|---|
| Mar 9, 2022 | Common Stock | MOption exerciseAcquired | +521 | $15.84 | +$8,252.64 | 196,877 | Direct | |
| Mar 9, 2022 | Common Stock | MOption exerciseAcquired | +4,166 | $15.84 | +$65,989.44 | 201,043 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −20,526 | $25.32F3 | −$519,718.32 | 180,517 | Direct | |
| Mar 9, 2022 | Common Stock | SSaleDisposed | −201 | $26.02F4 | −$5,230.02 | 180,316 | 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 |
|---|---|---|---|---|---|---|---|---|
| Mar 9, 2022 | Common Stock | MOption exerciseDisposed | −4,166 | $0.00 | $0 | 39,569 | Direct | |
| Mar 9, 2022 | Common Stock | MOption exerciseDisposed | −521 | $0.00 | $0 | 6,248 | 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
The sale reported on this Form 4 was made pursuant to a written trading plan adopted by the Reporting Person in accordance with Rule 10b5-1.
- F2
Due to a technical and administrative error, the original Form 4, filed on March 11, 2022, incorrectly included the sale of 2,482 shares of Common Stock by the Reporting Person that did not occur and was duplicative of the sale of such 2,482 shares of Common Stock that were previously reported.
- F3
Represents a weighted average price. These shares were sold by the Reporting Person in multiple transactions at prices ranging from $25.00 to $25.96, inclusive.
Referenced by the price of 1 transaction in Table I.
- F4
Represents the weighted average sale price of the shares sold ranging from $26.00 to $26.05 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) and (4).
Referenced by the price of 1 transaction in Table I.
- F5
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.
- F6
25% of the 25,000 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.