0001179110-21-003941.txt : 20210401 0001179110-21-003941.hdr.sgml : 20210401 20210401163628 ACCESSION NUMBER: 0001179110-21-003941 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210330 FILED AS OF DATE: 20210401 DATE AS OF CHANGE: 20210401 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: 21798573 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 FISCAL YEAR END: 0131 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 FORMER COMPANY: FORMER CONFORMED NAME: HEALTHEQUITY INC DATE OF NAME CHANGE: 20080227 4 1 edgar.xml FORM 4 - X0306 4 2021-03-30 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 2021-03-30 4 A 0 7463 0 A 37347 D Common Stock 2021-03-30 4 A 0 6465 0 A 43812 D Common Stock 2021-03-31 4 F 0 641 67.5022 D 43171 D Common Stock 575735 I See footnote Common Stock 203000 I See footnote Stock Option (right to buy) 14 2024-07-30 Common Stock 140000 140000 D Stock Option (right to buy) 41.28 2027-03-27 Common Stock 19897 19897 D Stock Option (right to buy) 61.72 2028-03-27 Common Stock 14228 14228 D Stock Option (right to buy) 73.61 2029-03-26 Common Stock 15337 15337 D Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units will vest as to 1,866 shares annually on March 30, 2022, 2023 and 2024. The remaining 1,865 restricted stock units vest on March 30, 2025. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested as to 6,465 shares on March 30, 2021. The shares reported on this Form 4 are subject to a lock-up agreement between the reporting person and BofA Securities, Inc. dated February 16, 2021 (the "Lock-up Date") pursuant to which the remaining shares reported in Table I of this Form 4 cannot be sold for 45 days following the Lock-up Date. Shares held of record by the Stephen and Christine Neeleman Trust. 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. The option is immediately exercisable. The option is exercisable as to 10,671 shares. The remaining 3,557 options become exercisable on March 27, 2022. The option is exercisable as to 7,219 shares. The remaining options vest as to 3,384 shares on each of March 27, 2022 and 2023. /s/ STEPHEN NEELEMAN 2021-04-01