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Nasdaq · USD

HQY

HEALTHEQUITY, INC.

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3639
SEC CIK
0001428336
Parsed reports
607

Last 12 months

Inside the activity.

0 purchase rows · 11 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202503
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202603
Jun 202600
Jul 202602
Aug 202602
Sep 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 08, 2018 Filed Jun 12, 2018 16:46 UTC
Hill Angelique ChristineExec VP, Operations
Exercise / conversionStock Option (right to buy) · Derivative 8,000 $0.00 Strike: $18.93 $0.00
Disclosure

SEC source: 0001179110-18-008400 · edgar.xml · derivative · entry 5

Hill Angelique Christine · CIK 0001738418 · Exec VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Underlying: Common Stock · 8,000 shares

Expires 2024-09-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 16:46 UTC
Hill Angelique ChristineExec VP, Operations
SaleCommon Stock 8,000 $77.45 $619,600.00
Disclosure

SEC source: 0001179110-18-008400 · edgar.xml · nonDerivative · entry 2

Hill Angelique Christine · CIK 0001738418 · Exec VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,471

Read SEC document
June 08, 2018 Filed Jun 12, 2018 16:46 UTC
Hill Angelique ChristineExec VP, Operations
Exercise / conversionCommon Stock 8,000 $18.93 $151,440.00
Disclosure

SEC source: 0001179110-18-008400 · edgar.xml · nonDerivative · entry 1

Hill Angelique Christine · CIK 0001738418 · Exec VP, Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,471

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 07, 2018 Filed Jun 11, 2018 19:15 UTC
ROBINSON GARY DEVP, Chief Marketing Officer
Exercise / conversionStock Options (Right to Buy) · Derivative 2,000 $0.00 Strike: $41.28 $0.00
Disclosure

SEC source: 0001179110-18-008332 · edgar.xml · derivative · entry 3

ROBINSON GARY D · CIK 0001703205 · EVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 2,000 shares

Expires 2027-03-27

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The shares become exercisable in three equal annual installments of 5,000 shares on March 27, 2019, 2020 and 2021.

Read SEC document
June 07, 2018 Filed Jun 11, 2018 19:15 UTC
ROBINSON GARY DEVP, Chief Marketing Officer
SaleCommon Stock 2,100 $80.49 $169,029.00
Disclosure

SEC source: 0001179110-18-008332 · edgar.xml · nonDerivative · entry 2

ROBINSON GARY D · CIK 0001703205 · EVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,890

Read SEC document
June 07, 2018 Filed Jun 11, 2018 19:15 UTC
ROBINSON GARY DEVP, Chief Marketing Officer
Exercise / conversionCommon Stock 2,000 $41.28 $82,560.00
Disclosure

SEC source: 0001179110-18-008332 · edgar.xml · nonDerivative · entry 1

ROBINSON GARY D · CIK 0001703205 · EVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,990

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
May 21, 2018 Filed May 23, 2018 17:10 UTC
MOTT DARCY GExecutive VP and CFO
Exercise / conversionStock Option (right to buy) · Derivative 12,500 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0001179110-18-007429 · edgar.xml · derivative · entry 3

MOTT DARCY G · CIK 0001179972 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2021-08-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 June 9, 2017.

F3 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 21, 2018 Filed May 23, 2018 17:10 UTC
MOTT DARCY GExecutive VP and CFO
SaleCommon Stock 9,500 $73.93 $702,336.90
Disclosure

SEC source: 0001179110-18-007429 · edgar.xml · nonDerivative · entry 2

MOTT DARCY G · CIK 0001179972 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,000

F1 · kind: 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 June 9, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.51 to $74.18, 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 range set forth in this footnote (2) to this Form 4.

Read SEC document
May 21, 2018 Filed May 23, 2018 17:10 UTC
MOTT DARCY GExecutive VP and CFO
Exercise / conversionCommon Stock 12,500 $1.25 $15,625.00
Disclosure

SEC source: 0001179110-18-007429 · edgar.xml · nonDerivative · entry 1

MOTT DARCY G · CIK 0001179972 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 June 9, 2017.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionStock Option (right to buy) · Derivative 16,250 $0.00 Strike: $24.36 $0.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · derivative · entry 8

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 16,250 shares

Expires 2026-03-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

F5 · derivative.exercise_date: The option becomes exercisable as to 32,500 shares in two equal installments on March 23, 2019 and 2020.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionStock Option (right to buy) · Derivative 3,000 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · derivative · entry 7

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

F4 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionStock Option (right to buy) · Derivative 16,750 $0.00 Strike: $1.50 $0.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · derivative · entry 6

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,750 shares

Expires 2023-05-09

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

F4 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
SaleCommon Stock 3,700 $71.77 $265,540.12
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · nonDerivative · entry 5

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,189

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.38 to $72.24, inclusive.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
SaleCommon Stock 32,300 $70.85 $2,288,374.25
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · nonDerivative · entry 4

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,889

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.36 to $71.33, 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) and (3) to this Form 4.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionCommon Stock 16,250 $24.36 $395,850.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · nonDerivative · entry 3

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,189

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionCommon Stock 3,000 $14.00 $42,000.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · nonDerivative · entry 2

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,939

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

Read SEC document
May 14, 2018 Filed May 16, 2018 21:30 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionCommon Stock 16,750 $1.50 $25,125.00
Disclosure

SEC source: 0001179110-18-006906 · edgar.xml · nonDerivative · entry 1

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,939

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017, as amended on April 12, 2018.

Read SEC document
May 10, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionStock Option (right to buy) · Derivative 8,889 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · derivative · entry 23

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 8,889 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

F18 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 10, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 10,934 $70.21 $767,634.59
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 19

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 203,000

F6 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC, a Utah limited liability company, on March 23, 2018.

F17 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 to $70.58, inclusive.

F8 · ownership.nature: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. 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.

Read SEC document
May 10, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 32,802 $70.21 $2,302,903.77
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 18

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 583,285

F3 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on March 23, 2018.

F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 to $70.58, inclusive.

F5 · ownership.nature: Shares held of record by the Stephen and Christine Neeleman Trust.

Read SEC document
May 10, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 8,889 $70.21 $624,062.91
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 17

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: 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 March 23, 2018.

F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.64 to $70.58, inclusive.

Read SEC document
May 10, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionCommon Stock 8,889 $14.00 $124,446.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 16

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,889

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionStock Option (Right to Buy) · Derivative 13,926 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · derivative · entry 22

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,889

Underlying: Common Stock · 13,926 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

F18 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 3,809 $70.66 $269,128.32
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 15

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 213,934

F6 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC, a Utah limited liability company, on March 23, 2018.

F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.54 to $70.89, inclusive.

F8 · ownership.nature: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. 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.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 13,318 $70.15 $934,277.68
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 14

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 217,743

F6 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC, a Utah limited liability company, on March 23, 2018.

F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.54 to $70.53, inclusive.

F8 · ownership.nature: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. 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.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 11,426 $70.66 $807,314.31
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 13

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 616,087

F3 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on March 23, 2018.

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.54 to $70.89, inclusive.

F5 · ownership.nature: Shares held of record by the Stephen and Christine Neeleman Trust.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 39,954 $70.15 $2,802,837.03
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 12

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 627,513

F3 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on March 23, 2018.

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.54 to $70.53, inclusive.

F5 · ownership.nature: Shares held of record by the Stephen and Christine Neeleman Trust.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 3,097 $70.66 $218,821.63
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 11

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: 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 March 23, 2018.

F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.54 to $70.89, inclusive.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 10,829 $70.15 $759,670.59
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 10

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,097

F1 · kind: 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 March 23, 2018.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.54 to $70.53, inclusive.

Read SEC document
May 09, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionCommon Stock 13,926 $14.00 $194,964.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 9

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,926

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

Read SEC document
May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionStock Option (right to buy) · Derivative 17,185 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · derivative · entry 21

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,815

Underlying: Common Stock · 17,185 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

F18 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionStock Option (right to buy) · Derivative 654 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · derivative · entry 20

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 654 shares

Expires 2021-08-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

F18 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 24 $70.25 $1,686.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 8

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 231,061

F6 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC, a Utah limited liability company, on March 23, 2018.

F8 · ownership.nature: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. 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.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 21,915 $69.59 $1,525,005.68
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 7

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 231,085

F6 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by Neeleman Family Holdings, LLC, a Utah limited liability company, on March 23, 2018.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.21 to $70.14, inclusive.

F8 · ownership.nature: Shares held of record by Neeleman Family Holdings, LLC ("Family Holdings"), a Utah limited liability company. 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.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 74 $70.25 $5,198.50
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 6

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 667,467

F3 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on March 23, 2018.

F5 · ownership.nature: Shares held of record by the Stephen and Christine Neeleman Trust.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 65,744 $69.59 $4,574,947.45
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 5

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 667,541

F3 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Stephen and Christine Neeleman Trust on March 23, 2018.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.21 to $70.14, inclusive.

F5 · ownership.nature: Shares held of record by the Stephen and Christine Neeleman Trust.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 21 $70.25 $1,475.25
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 4

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: 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 March 23, 2018.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
SaleCommon Stock 17,818 $69.59 $1,239,906.51
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 3

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21

F1 · kind: 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 March 23, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.21 to $70.14, 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), (9), (10), (11), (12), (13), (14), (15), (16) and (17) to this Form 4.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionCommon Stock 17,185 $14.00 $240,590.00
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 2

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,839

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

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May 08, 2018 Filed May 11, 2018 00:38 UTC
Neeleman StephenDirector · Founder and Vice Chairman
Exercise / conversionCommon Stock 654 $1.25 $817.50
Disclosure

SEC source: 0001179110-18-006594 · edgar.xml · nonDerivative · entry 1

Neeleman Stephen · CIK 0001614838 · Director · Founder and Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 654

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 March 23, 2018.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:12 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionStock Option (right to buy) · Derivative 3,000 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006332 · edgar.xml · derivative · entry 3

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

F2 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:12 UTC
Dreier AshleyExecutive, VP, CTO and CIO
SaleCommon Stock 3,000 $67.00 $201,000.00
Disclosure

SEC source: 0001179110-18-006332 · edgar.xml · nonDerivative · entry 2

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,189

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

Read SEC document
May 02, 2018 Filed May 4, 2018 21:12 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionCommon Stock 3,000 $14.00 $42,000.00
Disclosure

SEC source: 0001179110-18-006332 · edgar.xml · nonDerivative · entry 1

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,189

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

Read SEC document
May 02, 2018 Filed May 4, 2018 21:08 UTC
Kessler JonDirector · President and CEO
Exercise / conversionStock Option (right to buy) · Derivative 120,000 $0.00 Strike: $14.00 $0.00
Disclosure

SEC source: 0001179110-18-006324 · edgar.xml · derivative · entry 4

Kessler Jon · CIK 0001615062 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2024-07-30

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2017.

F3 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:08 UTC
Kessler JonDirector · President and CEO
SaleCommon Stock 120,000 $66.83 $8,019,672.00
Disclosure

SEC source: 0001179110-18-006324 · edgar.xml · nonDerivative · entry 2

Kessler Jon · CIK 0001615062 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,000

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2017.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:08 UTC
Kessler JonDirector · President and CEO
Exercise / conversionCommon Stock 120,000 $14.00 $1,680,000.00
Disclosure

SEC source: 0001179110-18-006324 · edgar.xml · nonDerivative · entry 1

Kessler Jon · CIK 0001615062 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2017.

Read SEC document
April 30, 2018 Filed May 2, 2018 22:28 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionStock Option (right to buy) · Derivative 16,250 $0.00 Strike: $24.36 $0.00
Disclosure

SEC source: 0001179110-18-006074 · edgar.xml · derivative · entry 5

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,750

Underlying: Common Stock · 16,250 shares

Expires 2026-03-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

F3 · derivative.exercise_date: The option is immediately exercisable as to 16,250 shares. The option becomes exercisable as to the remaining 32,500 shares in two equal installments on March 23, 2019 and 2020.

Read SEC document
April 30, 2018 Filed May 2, 2018 22:28 UTC
Dreier AshleyExecutive, VP, CTO and CIO
SaleCommon Stock 16,250 $67.00 $1,088,750.00
Disclosure

SEC source: 0001179110-18-006074 · edgar.xml · nonDerivative · entry 2

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,189

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

Read SEC document
April 30, 2018 Filed May 2, 2018 22:28 UTC
Dreier AshleyExecutive, VP, CTO and CIO
Exercise / conversionCommon Stock 16,250 $24.36 $395,850.00
Disclosure

SEC source: 0001179110-18-006074 · edgar.xml · nonDerivative · entry 1

Dreier Ashley · CIK 0001614957 · Executive, VP, CTO and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,439

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The option exercises and subsequent sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2017

Read SEC document
April 20, 2018 Filed Apr 23, 2018 19:45 UTC
MOTT DARCY GExecutive VP and CFO
Exercise / conversionStock Option (right to buy) · Derivative 12,500 $0.00 Strike: $1.25 $0.00
Disclosure

SEC source: 0001179110-18-005829 · edgar.xml · derivative · entry 4

MOTT DARCY G · CIK 0001179972 · Executive VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2021-08-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: 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 June 9, 2017.

F3 · derivative.exercise_date: The option is immediately exercisable.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.