Filing Details

Accession Number:
0001403431-17-000027
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-15 20:29:54
Reporting Period:
2017-02-13
Filing Date:
2017-02-15
Accepted Time:
2017-02-15 20:29:54
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1403431 Heritage-Crystal Clean Inc. HCCI Sanitary Services (4950) 260351454
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1428787 Gregory Ray C/O Heritage-Crystal Clean, Inc.
2175 Point Boulevard, Suite 275
Elgin IL 60123
Coo No 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 2017-02-13 162 $11.50 155,764 No 4 M Direct
Common Stock Disposition 2017-02-13 162 $15.50 155,602 No 4 S Direct
Common Stock Acquisiton 2017-02-14 950 $11.50 156,552 No 4 M Direct
Common Stock Disposition 2017-02-14 950 $15.50 155,602 No 4 S Direct
Common Stock Acquisiton 2017-02-15 1,223 $11.50 156,825 No 4 M Direct
Common Stock Disposition 2017-02-15 1,223 $15.51 155,602 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
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 Employee Stock Option (right to buy) Disposition 2017-02-13 162 $0.00 162 $11.50
Common Stock Employee Stock Option (right to buy) Disposition 2017-02-14 950 $0.00 950 $11.50
Common Stock Employee Stock Option (right to buy) Disposition 2017-02-15 1,223 $0.00 1,223 $11.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
84,102 2018-03-17 No 4 M Direct
83,152 2018-03-17 No 4 M Direct
81,929 2018-03-17 No 4 M Direct
Footnotes
  1. Exercises were made pursuant to a Rule 10b5-1 plan.
  2. The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $15.50 to $15.55, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
  3. Fully vested.