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HMSY HMS Holdings Corp

36.975
0.00 (0.00%)
After Hours
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
HMS Holdings Corp NASDAQ:HMSY NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 36.975 34.87 37.00 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

21/11/2018 11:33pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

LUCIA WILLIAM C
2. Issuer Name and Ticker or Trading Symbol

HMS HOLDINGS CORP [ HMSY ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
Chairman, President and CEO
(Last)          (First)          (Middle)

5615 HIGH POINT DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

11/19/2018
(Street)

IRVING, TX 75038
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   7/18/2018     G (1)   V 1810.0000   D $0.0000   181400.0000   D    
Common Stock   11/19/2018     M    2953.0000   A $27.7900   184353.0000   D    
Common Stock   11/19/2018     S    500.0000   D $36.7180   (2) 183853.0000   D    
Common Stock   11/19/2018     S    2453.0000   D $35.7974   (3) 181400.0000   D    
Common Stock   11/20/2018     M    15213.0000   A $27.7900   196613.0000   D    
Common Stock   11/20/2018     S    15213.0000   D $35.1195   (4) 181400.0000   D    
Common Stock   11/21/2018     M    7985.0000   A $27.7900   189385.0000   D    
Common Stock   11/21/2018     S    7985.0000   D $35.4303   (5) 181400.0000   D    
Common Stock   7/18/2018     G (1)   V 1810.0000   A $0.0000   581734.0000   (6) I   By Lucia Family Trust  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Nonqualified Stock Option (Right to Buy)   $27.7900   11/19/2018     M         2953.0000      (7) 10/4/2019   Common Stock   2953.0000   $0.0000   61147.0000   D    
Nonqualified Stock Option (Right to Buy)   $27.7900   11/20/2018     M         15213.0000      (7) 10/4/2019   Common Stock   15213.0000   $0.0000   45934.0000   D    
Nonqualified Stock Option (Right to Buy)   $27.7900   11/21/2018     M         7985.0000      (7) 10/4/2019   Common Stock   7985.0000   $0.0000   37949.0000   D    

Explanation of Responses:
(1)  The reported transactions involved a gift of securities by the reporting person to The William C. Lucia Family Trust, a revocable trust for which the reporting person is Trustee.
(2)  The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.58 to $36.92, inclusive. The reporting person undertakes to provide to HMS Holdings Corp., any security holder of HMS Holdings Corp., 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 ranges set forth in footnotes (2), (3), (4) and (5) to this Form 4.
(3)  The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.5150 to $36.46, inclusive.
(4)  The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.44, inclusive.
(5)  The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.00 to $35.79, inclusive.
(6)  These shares are indirectly owned by The William C Lucia Family Trust, a revocable trust for which the Reporting Person is Trustee. Taking into account shares owned both directly and indirectly by family trust, the Reporting Person beneficially owned an aggregate of 763,134 shares following the transactions reported on this Form 4.
(7)  One-half of the option vested in three equal installments on December 31, 2013, 2014 and 2015. The other one-half of the option was cancelled due to non-satisfaction of certain performance conditions.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
LUCIA WILLIAM C
5615 HIGH POINT DRIVE
IRVING, TX 75038
X
Chairman, President and CEO

Signatures
Kimberly J. Day, as Attorney-in-Fact for William C. Lucia 11/21/2018
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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