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Filing Details

Accession Number:: 0001225208-16-039744
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-09-28 18:19:36
Reporting Period:: 2016-09-26

Filing Date:: 2016-09-28
Accepted Time:: 2016-09-28 18:19:36
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	Chairman, President And Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2016-06-27	127,303	$0.00	194,982	No	5	G	Direct
Common Stock	Acquisiton	2016-09-26	60,000	$12.61	254,982	No	4	M	Direct
Common Stock	Disposition	2016-09-26	45,280	$22.09	209,702	No	4	S	Direct
Common Stock	Acquisiton	2016-06-27	127,303	$0.00	449,386	No	5	G	Indirect	By Lucia Family Trust

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	5	G	Direct
No	4	M	Direct
No	4	S	Direct
No	5	G	Indirect	By Lucia Family Trust

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Nonqualified Stock Option (Right to Buy)	Disposition	2016-09-26	60,000	$0.00	60,000	$12.61

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2016-10-01	No	4	M	Direct

Footnotes

The reported transactions involved a gift of securities by the reporting person to The William C. Lucia Family Trust, a revocable trust for which the reporting person is Trustee.
The transactions reported were executed pursuant to a trading plan (the "Plan") entered into by the reporting person, 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). For the transactions reported on this Form 4, the Plan provided for the exercise of an option initially granted in 2009 with an expiration date of October 1, 2016. Of the 60,000 shares acquired upon exercise of the option as reported on this Form 4, 14,720 shares continue to be held by the reporting person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.95 to $22.36, 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 to this Form 4.
These shares are indirectly owned by The William C Lucia Family Trust, a revocable trust for which the Reporting Person is Trustee. Taking into account shares owned both directly and indirectly by family trust, the Reporting Person beneficially owned an aggregate of 659,088 shares following the transactions reported on this Form 4.
This option was previously reported as covering 20,000 shares at an exercise price of $37.82 per share but was adjusted to reflect the 3-for-1 stock split of the Issuer's common shares, effected in the form of a common stock dividend. The stock dividend was distributed on August 16, 2011, to shareholders of record at the close of business on July 22, 2011.
50% of the option vested in three equal annual installments commencing on December 31, 2010, and 50% of the option vested on December 31, 2012 following satisfaction of certain pre-defined performance and service conditions.