0001140361-17-028227.txt : 20170719 0001140361-17-028227.hdr.sgml : 20170719 20170719212139 ACCESSION NUMBER: 0001140361-17-028227 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170717 FILED AS OF DATE: 20170719 DATE AS OF CHANGE: 20170719 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Neeleman Stephen CENTRAL INDEX KEY: 0001614838 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36568 FILM NUMBER: 17973266 MAIL ADDRESS: STREET 1: 15 W. SCENIC POINTE DR., STE. 100 CITY: DRAPER STATE: UT ZIP: 84020 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HEALTHEQUITY INC CENTRAL INDEX KEY: 0001428336 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE BUSINESS ADDRESS: STREET 1: 15 WEST SCENIC POINTE DRIVE STREET 2: SUITE 100 CITY: DRAPER STATE: UT ZIP: 84020 BUSINESS PHONE: 801-727-1000 MAIL ADDRESS: STREET 1: 15 WEST SCENIC POINTE DRIVE STREET 2: SUITE 100 CITY: DRAPER STATE: UT ZIP: 84020 4 1 doc1.xml FORM 4 X0306 4 2017-07-17 0 0001428336 HEALTHEQUITY INC HQY 0001614838 Neeleman Stephen C/O HEALTHEQUITY, INC. 15 W. SCENIC POINTE DR., STE. 100 DRAPER UT 84020 1 1 0 0 Founder and Vice Chairman Common Stock 2017-07-17 4 M 0 1000 14 A 1000 D Common Stock 2017-07-17 4 S 0 1000 50.7616 D 0 D Common Stock 2017-07-17 4 S 0 2500 50.8225 D 745285 I See footnote Common Stock 2017-07-17 4 S 0 4800 50.8279 D 263200 I See footnote Common Stock 2017-07-17 4 S 0 200 51.26 D 263000 I See footnote Stock Option (right to buy) 14 2017-07-17 4 M 0 1000 0 D 2024-07-30 Common Stock 1000 42000 D Stock Option (right to buy) 41.28 2027-03-27 Common Stock 19897 19897 D Stock Option (right to buy) 1.25 2021-08-08 Common Stock 654 654 D The option exercises and subsequent sale reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.26 to $51.16, 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 ranges set forth in footnotes (2), (4), (7) and (9) to this Form 4. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on December 13, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.26 to $51.15, inclusive. Shares held of record by the Stephen and Christine Neeleman Trust. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company, on December 13, 2016. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $50.23 to $51.22, inclusive. Shares held of record by Family Holdings. The reporting person is the manager of Family Holdings. The reporting person disclaims beneficial ownership of the shares held by Family Holdings except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the reporting person is the beneficial owner of the shares held by Family Holdings for any other purposes. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.25 to $51.27, inclusive. The option is immediately exercisable. The option becomes exercisable in three annual installments of 4,974 shares on March 27, 2018, 2019, and 2020 and in one installment of 4,975 shares on March 27, 2021. The Power of Attorney given by Mr. Neeleman was previously filed with the U.S. Securities & Exchange Commission on March 3, 2017 as an exhibit to a statement on Form 4 filed by Mr. Neeleman with respect to HealthEquity, Inc. and is hereby incorporated by reference. /s/ Delano W. Ladd, attorney-in-fact 2017-07-19