Filing Details

Accession Number:
0001140361-14-031113
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-06 19:36:41
Reporting Period:
2014-08-04
Filing Date:
2014-08-06
Accepted Time:
2014-08-06 19:36:41
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1428336 Healthequity Inc HQY Services-Business Services, Nec (7389) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1614857 Frank Medici 475 Steamboat Road
Greenwich CT 06830
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-08-04 14,045,290 $0.00 14,045,290 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-08-04 120,000 $1.10 14,165,290 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-04 30,000 $1.80 14,195,290 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-04 30,000 $2.25 14,225,290 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-04 30,000 $2.50 14,255,290 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-04 995,713 $0.01 15,251,003 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-04 143,147 $1.68 15,394,150 No 4 X Indirect See footnote
Common Stock Acquisiton 2014-08-05 12,500 $14.00 12,500 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See footnote
No 4 X Indirect See footnote
No 4 X Indirect See footnote
No 4 X Indirect See footnote
No 4 X Indirect See footnote
No 4 X Indirect See footnote
No 4 X Indirect See footnote
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series C Preferred Stock Disposition 2014-08-04 5,174,644 $0.00 7,157,346 $0.00
Common Stock Series D-1 Preferred Stock Disposition 2014-08-04 2,576,493 $0.00 5,152,986 $0.00
Common Stock Series D-2 Preferred Stock Disposition 2014-08-04 400,000 $0.00 909,090 $0.00
Common Stock Series D-3 Preferred Stock Disposition 2014-08-04 825,868 $0.00 825,868 $0.00
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $1.10
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $1.10
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $1.10
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $1.10
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $1.80
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $2.25
Common Stock Stock Option (right to buy) Disposition 2014-08-04 30,000 $0.00 30,000 $2.50
Common Stock Warrant (right to buy) Disposition 2014-08-04 813,713 $0.00 813,713 $0.01
Common Stock Warrant (right to buy) Disposition 2014-08-04 143,147 $0.00 143,147 $1.68
Common Stock Warrant (right to buy) Disposition 2014-08-04 182,000 $0.00 182,000 $0.01
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 2009-03-26 2019-03-26 No 4 X Indirect
0 2007-01-07 2017-01-07 No 4 X Indirect
0 2008-01-07 2018-01-07 No 4 X Indirect
0 2010-04-15 2020-04-15 No 4 X Indirect
0 2011-04-29 2021-04-29 No 4 X Indirect
0 2012-04-26 2022-04-26 No 4 X Indirect
0 2013-05-09 2023-05-09 No 4 X Indirect
0 2007-05-21 2017-05-21 No 4 X Indirect
0 2008-02-07 2018-02-07 No 4 X Indirect
0 2011-08-11 2016-08-11 No 4 X Indirect
Footnotes
  1. The Series C Preferred Stock automatically converted into shares of common stock on a 1-for-1.383157180 basis and had no expiration date.
  2. The Series D-1 Preferred Stock automatically converted into shares of common stock on a 1-for-2 basis and had no expiration date.
  3. The Series D-2 Preferred Stock automatically converted into shares of common stock on a 1-for-2.272727270 basis and had no expiration date.
  4. The Series D-3 Preferred Stock automatically converted into shares of common stock on a 1-for-1 basis and had no expiration date.
  5. All securities are held of record by Berkley Capital Investors, L.P., a Delaware limited partnership ("Berkley Investors"). Berkley Capital, LLC, a Delaware limited liability company ("Berkley Capital") is the general partner of Berkley Investors. The reporting person is an officer of Berkley Capital. The reporting person disclaims beneficial ownership of the securities held by Berkley Investors and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for Section 16 or any other purposes.