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
- The Series C Preferred Stock automatically converted into shares of common stock on a 1-for-1.383157180 basis and had no expiration date.
- The Series D-1 Preferred Stock automatically converted into shares of common stock on a 1-for-2 basis and had no expiration date.
- 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.
- The Series D-3 Preferred Stock automatically converted into shares of common stock on a 1-for-1 basis and had no expiration date.
- 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.
Billionaire Hedge Funds
