0001567619-19-011448.txt : 20190516 0001567619-19-011448.hdr.sgml : 20190516 20190516180208 ACCESSION NUMBER: 0001567619-19-011448 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190514 FILED AS OF DATE: 20190516 DATE AS OF CHANGE: 20190516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FICHTHORN JOHN CENTRAL INDEX KEY: 0001411509 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35811 FILM NUMBER: 19833589 MAIL ADDRESS: STREET 1: C/O DIALECTIC CAPITAL MANAGEMENT, LLC STREET 2: 17 STATE STREET, SUITE 3930 CITY: NEW YORK STATE: NY ZIP: 10004 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Health Insurance Innovations, Inc. CENTRAL INDEX KEY: 0001561387 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 461282634 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 15438 N. FLORIDA AVENUE STREET 2: SUITE 201 CITY: TAMPA STATE: FL ZIP: 33613 BUSINESS PHONE: 813-397-1187 MAIL ADDRESS: STREET 1: 15438 N. FLORIDA AVENUE STREET 2: SUITE 201 CITY: TAMPA STATE: FL ZIP: 33613 4 1 doc1.xml FORM 4 X0306 4 2019-05-14 0 0001561387 Health Insurance Innovations, Inc. HIIQ 0001411509 FICHTHORN JOHN 119 ROWAYTON AVENUE NORWALK CT 06853 1 0 0 0 Class A Common Stock 2019-05-14 4 A 0 3513 0 A 14121 D Class A Common Stock 173000 I Held by BRC Partners Opportunity Fund, LP These restricted shares were granted under the Issuer's Long Term Incentive Plan ("Plan") and are scheduled to vest 50% on May 14, 2020 and 50% on May 14, 2021, subject to the terms and conditions of the Plan and a Restricted Stock Award Agreement under the Plan. BR Dialectic Capital Management, LLC is the investment manager of Dialectic Antithesis Partners, LP and, as such, shares voting and dispositive power over the securities held by Dialectic Antithesis Partners, LP. B. Riley Capital Management, LLC is the investment manager of BRC Partners Opportunity Fund, LP (the "BRC Opportunity Fund") and, as such, shares voting and dispositive power over the securities held by the BRC Opportunity Fund. The Reporting Person is a portfolio manager for BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC and therefore shares voting and dispositive power over the securities, but the Reporting Person disclaims beneficial ownership of any of Issuer's securities in which he does not have a pecuniary interest or that he does not directly own. BR Dialectic Capital Management, LLC and B. Riley Capital Management, LLC are wholly owned subsidiaries of B. Riley Financial, Inc., a publicly traded Delaware corporation (NasdaqCM: RILY). /s/ John Fichthorn 2019-05-16