Filing Details
- Accession Number:
- 0001403431-17-000084
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-08 17:37:10
- Reporting Period:
- 2017-05-04
- Filing Date:
- 2017-05-08
- Accepted Time:
- 2017-05-08 17:37:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1428935 | John Lucks | C/O Heritage-Crystal Clean, Inc. 2175 Point Boulevard, Suite 375 Elgin IL 60123 | Senior Vp Sales & Marketing | 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 | 2017-05-04 | 9,444 | $11.50 | 40,699 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-04 | 9,444 | $15.06 | 31,255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-05 | 10,556 | $11.50 | 41,811 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-05 | 10,556 | $14.81 | 31,255 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2017-05-08 | 13,500 | $11.50 | 44,755 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-08 | 13,500 | $14.75 | 31,255 | 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 | 2017-05-04 | 9,444 | $0.00 | 9,444 | $11.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-05-05 | 10,556 | $0.00 | 10,556 | $11.50 |
| Common Stock | Employee Stock Option (right to buy) | Disposition | 2017-05-08 | 13,500 | $0.00 | 13,500 | $11.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 30,556 | 2018-03-17 | No | 4 | M | Direct | |
| 20,000 | 2018-03-17 | No | 4 | M | Direct | |
| 6,500 | 2018-03-17 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $15.00 to $15.25, 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.
- The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.75 to $15.00, 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.
- The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.75 to $14.80, 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.
- Fully vested.
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