Filing Details
- Accession Number:
- 0001140361-16-087457
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-21 18:04:20
- Reporting Period:
- 2016-11-17
- Filing Date:
- 2016-11-21
- Accepted Time:
- 2016-11-21 18:04:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1561387 | Health Insurance Innovations Inc. | HIIQ | Insurance Agents, Brokers & Service (6411) | 461282634 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1569128 | D Michael Hershberger | C/O Health Insurance Innovations, Inc. 15438 North Florida Ave., Suite 201 Tampa FL 33613 | Cfo, Secretary And Treasurer | 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 |
|---|---|---|---|---|---|---|---|---|---|---|
| Class A Common Stock | Disposition | 2016-11-17 | 12,500 | $10.26 | 160,369 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2016-11-18 | 20,000 | $9.99 | 140,369 | No | 4 | S | Direct | |
| Class A Common Stock | Disposition | 2016-11-21 | 7,000 | $10.58 | 133,369 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Appreciation RIghts | $10.45 | 2021-05-21 | 25,000 | 25,000 | Direct | |
| Common Stock | Stock Appreciation RIghts | $4.95 | 2022-07-01 | 30,000 | 30,000 | Direct | |
| Common Stock | Stock Appreciation RIghts | $4.99 | 2022-09-16 | 30,000 | 30,000 | Direct | |
| Common Stock | Stock Appreciation RIghts | $5.20 | 2023-09-16 | 40,972 | 40,972 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2021-05-21 | 25,000 | 25,000 | Direct |
| 2022-07-01 | 30,000 | 30,000 | Direct |
| 2022-09-16 | 30,000 | 30,000 | Direct |
| 2023-09-16 | 40,972 | 40,972 | Direct |
Footnotes
- The price in Column 4 is a weighted average price. The prices actually received ranged from $10.00 to $10.70. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $9.85 to $10.15. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- The price in Column 4 is a weighted average price. The prices actually received ranged from $10.55 to $10.60. The reporting person has provided to the issuer, and will provide to any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range for all transactions reported in this Form 4 utilizing a weighted average price.
- These stock-settled stock appreciation rights were granted under the Issuer's Long-Term Incentive Plan and vest 20% on the first three anniversaries of grant date and 40% on the fourth anniversary, subject to the terms of the Long-Term Incentive Plan and an award agreement under the Long-Term Incentive Plan.
- These stock-settled stock appreciation rights were granted under the Issuer's Long-Term Incentive Plan and vest 50% on the first anniversary of grant date and 25% on each of the second and third anniversaries, subject to the terms of the Long-Term Incentive Plan and an award agreement under the Long-Term Incentive Plan.
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