Filing Details
- Accession Number:
- 0001140361-11-052705
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-09 17:28:41
- Reporting Period:
- 2011-11-07
- Filing Date:
- 2011-11-09
- Accepted Time:
- 2011-11-09 17:28:41
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1486800 | Higher One Holdings Inc. | ONE | Services-Business Services, Nec (7389) | 263025501 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1494213 | Dean Hatton | C/O Higher One Holdings, Inc. 25 Science Park New Haven CT 06511 | 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 | 2011-11-07 | 37,192 | $0.20 | 102,663 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-07 | 37,192 | $17.29 | 65,471 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2011-11-08 | 32,978 | $0.20 | 98,449 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2011-11-08 | 32,978 | $17.24 | 65,471 | 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 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-11-07 | 37,192 | $0.00 | 37,192 | $0.20 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2011-11-08 | 32,978 | $0.00 | 32,978 | $0.20 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 327,329 | 2005-03-18 | 2012-03-26 | No | 4 | M | Direct |
| 294,351 | 2005-03-18 | 2012-03-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 300,000 | Indirect | by the Dean W. Hatton GRAT |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 7, 2011.
- The price represents the weighted average sale price of multiple transactions on the reported date at prices between $16.94 and $17.47. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- The price represents the weighted average sale price of multiple transactions on the reported date at prices between $16.96 and $17.64. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
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