Filing Details
- Accession Number:
- 0001181431-11-024187
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-15 14:07:13
- Reporting Period:
- 2011-04-13
- Filing Date:
- 2011-04-15
- Accepted Time:
- 2011-04-15 14:07:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1144354 | Heartland Payment Systems Inc | HPY | Services-Business Services, Nec (7389) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1331716 | Jr B H Robert Baldwin | C/O Heartland Payment Systems, Inc. 90 Nassau Street Princeton NJ 08542 | President And Cfo | 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, Par Value $0.001 Per Share | Acquisiton | 2011-04-13 | 5,000 | $5.00 | 482,389 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2011-04-13 | 5,000 | $17.02 | 477,389 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 Per Share | Acquisiton | 2011-04-14 | 7,500 | $5.00 | 484,889 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2011-04-14 | 7,500 | $17.51 | 477,389 | 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 | 2011-04-13 | 5,000 | $0.00 | 5,000 | $5.00 |
| Common Stock | Stock Option(right to buy) | Disposition | 2011-04-14 | 7,500 | $0.00 | 7,500 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 297,636 | 2002-02-02 | 2012-02-02 | No | 4 | M | Direct |
| 290,136 | 2002-02-02 | 2012-02-02 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Robert H.B. Baldwin, Jr. on March 11, 2011.
- This price is the weighted average price of the 5,000 shares sold. The prices actually paid for the shares of the Common Stock of Heartland Payment Systems, Inc. (the "Company") sold ranged from $16.95 to $17.20. Robert H.B. Baldwin, Jr. will provide to the Company, any security holder of the Company or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid.
- This price is the weighted average price of the 7,500 shares sold. The prices actually paid for the shares of the Common Stock of the Company sold ranged from $17.50 to $17.53. Robert H.B. Baldwin, Jr. will provide to the Company, any security holder of the Company or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid.
- Robert H.B. Baldwin, Jr. also beneficially owns 140.97 shares of Common Stock held in the Company's 401(k) plan. Mr. Baldwin is also the indirect beneficial owner of 91,325 shares of Common Stock which are held by the Margaret J. Sieck and Whitney H. Baldwin as Trustees for an Indenture created June 30, 2004. Mr. Baldwin disclaims beneficial ownership of the securities held in the Indenture, and this report shall not be an admission that Mr. Baldwin is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
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