4//SEC Filing
SCHRIER DEREK C 4
Accession 0001193805-22-001273
CIK 0001651561other
Filed
Sep 15, 8:00 PM ET
Accepted
Sep 16, 5:52 PM ET
Size
13.1 KB
Accession
0001193805-22-001273
Insider Transaction Report
Form 4
Indaba Capital Fund, L.P.
Director
Transactions
- Award
Common Stock
2022-09-13+52,747→ 6,574,325 total(indirect: See Footnote)
Indaba Capital Management, LLC
10% Owner
Transactions
- Award
Common Stock
2022-09-13+52,747→ 6,574,325 total(indirect: See Footnote)
IC GP, LLC
10% Owner
Transactions
- Award
Common Stock
2022-09-13+52,747→ 6,574,325 total(indirect: See Footnote)
SCHRIER DEREK C
10% Owner
Transactions
- Award
Common Stock
2022-09-13+52,747→ 6,574,325 total(indirect: See Footnote)
Footnotes (5)
- [F1]This Form 4 is filed jointly by Indaba Capital Fund, L.P. (the "Fund"), Indaba Capital Management, L.P. (the "Investment Manager"), IC GP, LLC ("IC GP"), and Derek C. Schrier (collectively, the "Reporting Persons"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
- [F2]Pursuant to the Tabula Rasa HealthCare, Inc. Non-Employee Director Compensation Policy (the "Policy"), Mr. Schrier received an Initial Equity Award (as such term is defined in the Policy) of 52,747 shares of restricted common stock of the Issuer in connection with Mr. Schrier's appointment to the Issuer's Board of Directors (the "Board").
- [F3]The restricted stock awards vest in three equal annual installments on September 13, 2023, September 13, 2024 and September 13, 2025 so long as Mr. Schrier remains a director through each such vesting date.
- [F4]Because Mr. Schrier serves on the Board as a representative of the Fund and its affiliates, the Fund is entitled to receive the direct economic interest in securities granted to Mr. Schrier by the Issuer in respect of Mr. Schrier's Board position. Mr. Schrier disclaims beneficial ownership of the Issuer's securities to which this report relates and at no time has Mr. Schrier had any economic interest in such securities except any indirect economic interest through the Fund and its affiliates.
- [F5]Securities held directly by the Fund. Pursuant to an Investment Management Agreement, the Fund and its general partner have delegated all voting and investment power over the securities directly held by the Fund to the Investment Manager. As a result, each of the Investment Manager, IC GP, as the general partner of the Investment Manager, and Derek C. Schrier, as Managing Member of IC GP, may be deemed to exercise voting and investment power over such securities. Each of the Investment Manager, IC GP and Mr. Schrier disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
Documents
Issuer
Tabula Rasa HealthCare, Inc.
CIK 0001651561
Entity typeother
Related Parties
1- filerCIK 0001250078
Filing Metadata
- Form type
- 4
- Filed
- Sep 15, 8:00 PM ET
- Accepted
- Sep 16, 5:52 PM ET
- Size
- 13.1 KB