Heritage-Crystal Clean, Inc. 4

Accession 0001403431-17-000068

CIK 0001403431operating

Filed

Apr 9, 8:00 PM ET

Accepted

Apr 10, 5:43 PM ET

Size

19.4 KB

Accession

0001403431-17-000068

Form 4

Period: 2017-04-06

CFO, VP Bus. Mgmt & Secretary

Transactions

Exercise/Conversion
Common Stock
2017-04-06$11.50/sh+28,261$325,002→ 195,226 total
Sale
Common Stock
2017-04-07$14.93/sh−29,739$444,003→ 166,965 total
Sale
Common Stock
2017-04-06$14.64/sh−28,261$413,741→ 166,965 total
Exercise/Conversion
Employee Stock Option (right to buy)
2017-04-06−28,261→ 32,003 total
Exercise: $11.50Exp: 2018-03-17→ Common Stock (28,261 underlying)
Exercise/Conversion
Common Stock
2017-04-07$11.50/sh+29,739$341,999→ 196,704 total
Exercise/Conversion
Common Stock
2017-04-10$11.50/sh+2,264$26,036→ 169,229 total
Sale
Common Stock
2017-04-10$15.11/sh−2,264$34,209→ 166,965 total
Exercise/Conversion
Employee Stock Option (right to buy)
2017-04-10−2,264→ 0 total
Exercise: $11.50Exp: 2018-03-17→ Common Stock (2,264 underlying)
Exercise/Conversion
Employee Stock Option (right to buy)
2017-04-07−29,739→ 2,264 total
Exercise: $11.50Exp: 2018-03-17→ Common Stock (29,739 underlying)

Footnotes (5)

[F1]Exercises were made pursuant to a Rule 10b5-1 plan.
[F2]The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.50 to $14.80, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
[F3]The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $14.80 to $15.05, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
[F4]The price reported in Column 4 is a weighted average price. These shares were exercised in multiple transactions at prices ranging from $15.10 to $15.15, inclusive. The reporting person undertakes to provide Heritage-Crystal Clean, Inc. any security holder of Heritage-Crystal Clean, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares exercised at each separate price within the ranges set forth.
[F5]Fully vested.

Documents

1 file

Heritage-Crystal Clean, Inc.

CIK 0001403431

Entity typeoperating

IncorporatedDE