Filing Details
- Accession Number:
- 0001181431-11-041302
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-07-15 13:17:43
- Reporting Period:
- 2011-07-13
- Filing Date:
- 2011-07-15
- Accepted Time:
- 2011-07-15 12:17:43
- 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 | 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 | 2011-07-13 | 26,263 | $5.00 | 507,717 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2011-07-13 | 26,263 | $20.21 | 481,454 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.001 Per Share | Acquisiton | 2011-07-14 | 6,237 | $5.00 | 487,691 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.001 Per Share | Disposition | 2011-07-14 | 6,237 | $20.25 | 481,454 | 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 | 2011-07-13 | 26,263 | $0.00 | 26,263 | $5.00 |
| Common Stock | Stock Option (right to buy) | Disposition | 2011-07-14 | 6,237 | $0.00 | 6,237 | $5.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 178,873 | 2002-02-02 | 2012-02-02 | No | 4 | M | Direct |
| 172,636 | 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 the reporting person on March 11, 2011.
- This price is the weighted average price of the 26,263 shares sold. The prices actually paid for the shares of the Common Stock of Heartland Payment Systems, Inc. (the "Issuer") sold ranged from $20.05 to $20.41. The reporting person will provide to the Issuer, 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 of prices actually paid.
- This price is the weighted average price of the 6,237 shares sold. The prices actually paid for the shares of the Common Stock of the Issuer sold ranged from $20.18 to $20.35. The reporting person will provide to the Issuer, 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 of prices actually paid.
- The reporting person is the direct beneficial owner of 481,454 shares of common stock of the Issuer, excluding 141.26 shares of common stock of the Issuer held in the Issuer's 401(k) plan. The reporting person is also the indirect beneficial owner of 91,325 shares of common stock of the Issuer which are held by the Margaret J. Sieck and Whitney H. Baldwin as Trustees for an Indenture created June 30, 2004. The reporting person disclaims beneficial ownership of the securities held in the Indenture, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
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