Filing Details
- Accession Number:
- 0001179110-14-016768
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-18 17:19:05
- Reporting Period:
- 2014-11-17
- Filing Date:
- 2014-11-18
- Accepted Time:
- 2014-11-18 17:19:05
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1196501 | Hms Holdings Corp | HMSY | Services-Business Services, Nec (7389) | 113656261 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1209904 | C William Lucia | 5615 High Point Drive Irving TX 75038 | President And Ceo | Yes | Yes | 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 | 2014-11-17 | 18,667 | $3.15 | 387,336 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-17 | 13,858 | $21.24 | 373,478 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Nonqualified Stock Option (Right to Buy) | Disposition | 2014-11-17 | 18,667 | $0.00 | 18,667 | $3.15 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 42,657 | 2016-05-04 | No | 4 | M | Direct |
Footnotes
- The transactions reported were executed pursuant to a trading plan (the "Plan") entered into by the reporting person on August 13, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. The Plan provides for the exercise of options to purchase shares of HMS common stock and subsequent sale of some of those shares in order to cover transaction-related expenses (including taxes, exercise prices and fees), and to diversify a portion of the reporting person's financial assets while continuing to hold HMS common stock. The options initially were granted in 2006 and 2009, and have expiration dates within 26 months of the date of the Plan.
- For the transactions reported on this Form 4, the Plan provided for the exercise of options with an expiration date of May 4, 2016 to purchase 18,667 shares of HMS common stock and subsequent sale of a portion of those shares in order to cover the transaction-related expenses. Of the remaining shares after these expenses, 4,809 shares continue to be held by the reporting person as reflected on this Form 4, with a nearly equal amount having being sold to diversify the reporting person's financial assets.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.85 to $21.65, 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 (3) to this Form 4.
- The option vested in four equal installments on May 4, 2007, 2008, 2009 and 2010.
Billionaire Hedge Funds
