HATTON DEAN 4
4 · Higher One Holdings, Inc. · Filed Sep 14, 2012
Insider Transaction Report
Form 4
HATTON DEAN
President and CEO
Transactions
- Sale
Common Stock
2012-09-14$12.80/sh−58,345$746,816→ 199,729 total - Exercise/Conversion
Stock Option (Right to Buy)
2012-02-09−111,573→ 0 totalExercise: $0.20From: 2005-03-18Exp: 2012-03-26→ Common Stock (111,573 underlying) - Sale
Common Stock
2012-09-12$12.86/sh−25,000$321,500→ 298,074 total - Sale
Common Stock
2012-09-13$12.34/sh−40,000$493,600→ 258,074 total - Sale
Common Stock
2012-09-13$12.34/sh−40,000$493,600→ 15,000 total(indirect: by the Dean W. Hatton GRAT of 2011) - Exercise/Conversion
Common Stock
2012-02-09$0.20/sh+111,573$22,315→ 330,658 total - Sale
Common Stock
2012-09-12$12.86/sh−25,000$321,500→ 55,000 total(indirect: by the Dean W. Hatton GRAT of 2011) - Disposition to Issuer
Common Stock
2012-06-30−7,584→ 323,074 total - Sale
Common Stock
2012-09-14$12.69/sh−15,000$190,350→ 0 total(indirect: by the Dean W. Hatton GRAT of 2011)
Footnotes (9)
- [F1]A total of 23,920 shares previously held directly by Mr. Hatton were transferred to the Dean W. Hatton GRAT of 2011. Beginning March 23, 2012, these shares were erroneously included under both Mr. Hatton's direct ownership and his indirect ownership by the Dean W. Hatton GRAT of 2011.
- [F2]7,584 shares of unvested restricted stock that were previously reported under Mr. Hatton's direct ownership were forfeited due to his retirement.
- [F3]The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 10, 2012.
- [F4]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.62 and $12.98. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- [F5]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.63 and $13.00. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- [F6]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.00 and $12.84. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- [F7]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.00 and $12.92. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- [F8]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.32 and $13.07. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.
- [F9]The price represents the weighted average sale price of multiple transactions on the reported date at prices between $12.30 and $12.90. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the issuer, or a security holder of the issuer.