0001726978-21-000189.txt : 20211103 0001726978-21-000189.hdr.sgml : 20211103 20211103201147 ACCESSION NUMBER: 0001726978-21-000189 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211101 FILED AS OF DATE: 20211103 DATE AS OF CHANGE: 20211103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Jones Mark Evan CENTRAL INDEX KEY: 0001736768 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38466 FILM NUMBER: 211377463 MAIL ADDRESS: STREET 1: 1500 SOLANA BLVD STREET 2: BUILDING 4, SUITE 4500 CITY: WESTLAKE STATE: TX ZIP: 76262 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Goosehead Insurance, Inc. CENTRAL INDEX KEY: 0001726978 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1500 SOLANA BLVD STREET 2: BUILDING 4, SUITE 4500 CITY: WESTLAKE STATE: TX ZIP: 76262 BUSINESS PHONE: 214-838-5500 MAIL ADDRESS: STREET 1: 1500 SOLANA BLVD STREET 2: BUILDING 4, SUITE 4500 CITY: WESTLAKE STATE: TX ZIP: 76262 4 1 wf-form4_163598468418534.xml FORM 4 X0306 4 2021-11-01 0 0001726978 Goosehead Insurance, Inc. GSHD 0001736768 Jones Mark Evan C/O GOOSEHEAD INSURANCE, INC. 1500 SOLANA BLVD., BUILDING 4, STE 4500 WESTLAKE TX 76262 1 1 1 1 CEO Member of 10% owner group Class A Common Stock 2021-11-01 4 M 0 24506 10 A 227707 D Class A Common Stock 2021-11-01 4 S 0 6720 139.19 D 220987 D Class A Common Stock 2021-11-01 4 S 0 8294 140.89 D 212693 D Class A Common Stock 2021-11-01 4 S 0 2493 140.89 D 210200 D Class A Common Stock 2021-11-01 4 S 0 1529 142.18 D 208671 D Class A Common Stock 2021-11-01 4 S 0 3915 143.25 D 204756 D Class A Common Stock 2021-11-01 4 S 0 1555 144.19 D 203201 D Class A Common Stock 2021-11-02 4 M 0 32931 10 A 236132 D Class A Common Stock 2021-11-02 4 S 0 5971 135.70 D 230161 D Class A Common Stock 2021-11-02 4 S 0 15528 136.59 D 214633 D Class A Common Stock 2021-11-02 4 S 0 5471 137.41 D 209162 D Class A Common Stock 2021-11-02 4 S 0 5060 138.51 D 204102 D Class A Common Stock 2021-11-02 4 S 0 901 139.28 D 203201 D Class A Common Stock 2021-11-03 4 M 0 2563 10 A 205764 D Class A Common Stock 2021-11-03 4 S 0 1421 136.70 D 204343 D Class A Common Stock 2021-11-03 4 S 0 301 137.89 D 204042 D Class A Common Stock 2021-11-03 4 S 0 841 138.97 D 203201 D Employee Stock Options (right to buy) 10.0 2021-11-01 4 M 0 24506 0 D 2028-04-26 Class A Common Stock 24506.0 195494 D Employee Stock Options (right to buy) 10.0 2021-11-02 4 M 0 32931 0 D 2028-04-26 Class A Common Stock 32931.0 162563 D Employee Stock Options (right to buy) 10.0 2021-11-03 4 M 0 2563 0 D 2028-04-26 Class A Common Stock 2563.0 160000 D This does not reflect shares directly held by the reporting person's spouse, who is independently a reporting person of the issuer. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.62 to $139.61, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.62 to $140.61, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.63 to $141.57, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $141.78 to $142.55, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $142.83 to $143.74, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.85 to $144.78, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $135.02 to $136.01, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $136.02 to $137.01, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $137.02 to $138.01, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.02 to $139.01, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $139.07 to $139.84, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $136.25 to $137.14, 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 range set forth in this footnote to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $137.26 to $138.24, 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 to this Form 4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.44 to $139.37, 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 to this Form 4. One third (1/3rd) of the shares subject to the option shall vest and become exercisable, subject to continued employment, on each of the second, third and fourth anniversaries of the grant date; provided, that all shares subject to the option will vest and become exercisable if Mr. Jones' employment is terminated without "cause" or for "good reason" (each as defined in either Mr. Jones' option award agreement or the issuer's omnibus incentive plan) within six month following a "change in control" (as defined in the issuer's omnibus incentive plan). /s/ P. Ryan Langston, as Attorney-in-Fact for Mark Evan Jones 2021-11-03