Statement of Changes in Beneficial Ownership (4)
24 Abril 2019 - 7:20PM
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
*
Kosloske Michael W
|
2. Issuer Name
and
Ticker or Trading Symbol
Health Insurance Innovations, Inc.
[
HIIQ
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
15438 N. FLORIDA AVENUE, SUITE 201
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/10/2018
|
(Street)
TAMPA, FL 33613
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ 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
|
Class A Common Stock
|
9/10/2018
|
|
G
|
|
18100
(1)
|
D
|
$0
|
7979
|
D
|
|
Class A Common Stock
|
9/10/2018
|
|
G
|
|
7979
(1)
|
D
|
$0
|
0
|
D
|
|
Class A Common Stock
|
4/22/2019
|
|
M
(2)
|
|
106173
|
A
|
$9.20
|
106173
|
D
|
|
Class A Common Stock
|
4/22/2019
|
|
D
|
|
41871
(3)
|
D
|
$24.85
|
64302
|
D
|
|
Class B Common Stock
(4)
|
|
|
|
|
|
|
|
2416667
|
I
|
See Footnote
(5)
|
Class A Common Stock
|
|
|
|
|
|
|
|
125000
|
I
|
See Footnote
(6)
|
Class A Common Stock
|
|
|
|
|
|
|
|
5643
(7)
|
I
|
See Footnote
(7)
|
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
|
Stock Appreciation Rights
|
$9.80
|
4/22/2019
|
|
M
(2)
|
|
|
106173
|
(8)
|
6/7/2019
|
Common Stock
|
106173
|
$0
|
0
|
D
|
|
Stock Appreciation Rights
|
$23.8
|
|
|
|
|
|
|
(8)
|
6/7/2019
|
Common Stock
|
40834
|
|
40834
|
D
|
|
Membership Int in Health Plan Intermediaries Holdings, LLC
(4)
|
$0
|
|
|
|
|
|
|
(4)
|
(4)
|
Class A Common Stock
|
125000
|
|
2416667
|
I
|
See Footnote
(9)
|
Explanation of Responses:
|
(1)
|
Represents shares previously reported as being held by the Michael W. Kosloske 2012 Descendant's Trust as to which the Reporting Person exercised a power of substitution and subsequently gifted.
|
(2)
|
Represents the exercise of stock appreciation rights prior to the expiration thereof.
|
(3)
|
Shares retained by the issuer to satisfy the exercise price of stock appreciation rights exercised by the Reporting Person.
|
(4)
|
Each share of Class B Common Stock held by the reporting persons, together with one Series B Membership Interest held by the reporting persons in Health Plan Intermediaries Holdings, LLC ("HPIH"), are together exchangeable, at any time, at the reporting persons' election, for one share of Class A Common Stock. This exchange right has no expiration date.
|
(5)
|
This number of shares consists of 2,391,701 shares of Class B Common Stock held of record by Health Plan Intermediaries, LLC ("HPI") and 24,966 shares of Class B Common Stock held by Health Plan Intermediaries Sub, LLC ("HPIS"). Michael Kosloske is the sole member and primary manager of HPI, and has sole voting and dispositive power over the shares held by HPI. HPI is the sole managing member of HPIS and has sole voting and dispositive power over the shares held by HPIS. Mr. Kosloske, by virtue of his control of HPI and HPI's control of HPIS, may be deemed to beneficially own all the shares of Class B Common Stock held of record by each of HPI and HPIS.
|
(6)
|
This number of shares consists of 123,750 shares of Class A Common Stock held of record by HPI and 1,250 shares of Class A Common Stock held by HPIS. Michael Kosloske is the sole member and primary manager of HPI, and has sole voting and dispositive power over the shares held by HPI. HPI is the sole managing member of HPIS and has sole voting and dispositive power over the shares held by HPIS. Mr. Kosloske, by virtue of his control of HPI and HPI's control of HPIS, may be deemed to beneficially own all the shares of Class A Common Stock held of record by each of HPI and HPIS.
|
(7)
|
By Lori Kosloske. Michael Kosloske and Lori Kosloske are husband and wife. Share number previously incorrectly reported as 7,203.
|
(8)
|
These stock-settled stock appreciation rights were granted to the Reporting Person under the Issuer's Long-Term Incentive Plan and vest 25% on each of the first and second anniversaries of grant date and 50% on the third anniversary, subject to the terms of the Long-Term Incentive Plan and an award agreement under the Long-Term Incentive Plan.
|
(9)
|
This number consists of 2,391,701 Class B Membership Interests in HPIH held of record by HPI and 24,966 interests held by HPIS. Michael Kosloske is the sole member and primary manager of HPI, and has sole voting and dispositive power over the interests held by HPI. HPI is the sole managing member of HPIS and has sole voting and dispositive power over the interests held by HPIS. Mr. Kosloske, by virtue of his control of HPI and HPI's control of HPIS, may be deemed to beneficially own all the Class B Membership Interests of HPIH held of record by each of HPI and HPIS.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Kosloske Michael W
15438 N. FLORIDA AVENUE
SUITE 201
TAMPA, FL 33613
|
X
|
X
|
|
|
Health Plan Intermediaires, LLC
C/O HEALTH INSURANCE INNOVATIONS, INC.
15438 N. FLORIDA AVENUE, SUITE 201
TAMPA, FL 33613
|
|
X
|
|
|
Health Plan Intermediaries Sub, LLC
C/O HEALTH INSURANCE INNOVATIONS, INC.
15438 N. FLORIDA AVENUE, SUITE 201
TAMPA, FL 33613
|
|
X
|
|
|
Signatures
|
/s/ Michael W. Kosloske
|
|
4/24/2019
|
**
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.
|
Health Insurance Innovat... (NASDAQ:HIIQ)
Gráfico Histórico do Ativo
De Jun 2024 até Jul 2024
Health Insurance Innovat... (NASDAQ:HIIQ)
Gráfico Histórico do Ativo
De Jul 2023 até Jul 2024
Notícias em tempo-real sobre Health Insurance Innovations Inc da NASDAQ bolsa de valores: 0 artigos recentes
Mais Notícias de Health Insurance Innovations, Inc.