Initial Statement of Beneficial Ownership (3)
August 23 2017 - 5:47PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Collier Michael Manning
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/16/2017
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3. Issuer Name
and
Ticker or Trading Symbol
HEALTHSTREAM INC [HSTM]
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(Last)
(First)
(Middle)
209 10TH AVENUE SOUTH, SUITE 450
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP, BusDev and GenCounsel /
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(Street)
NASHVILLE, TN 37203
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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2590
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (right to buy)
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8/24/2015
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8/24/2019
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Common Stock
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2800
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$11.97
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D
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Restricted Share Units
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(1)
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(2)
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Common Stock
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417
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$0.00
(3)
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D
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Restricted Share Units
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(4)
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(2)
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Common Stock
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773
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$0.00
(3)
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D
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Restricted Share Units
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(5)
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(2)
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Common Stock
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881
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$0.00
(3)
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D
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Restricted Share Units
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(6)
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(2)
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Common Stock
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1459
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$0.00
(3)
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D
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Restricted Share Units
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(7)
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(2)
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Common Stock
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2436
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$0.00
(3)
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D
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Restricted Share Units
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(8)
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(2)
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Common Stock
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1473
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$0.00
(3)
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D
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Restricted Share Units
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(9)
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(2)
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Common Stock
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4500
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$0.00
(3)
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D
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Explanation of Responses:
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(1)
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The RSU's vest on March 11, 2018, contingent upon continued service at the time of vesting.
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(2)
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Not applicable.
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(3)
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Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.
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(4)
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The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 356 RSU's vest on October 6, 2017, and 417 RSU's vest on October 6, 2018.
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(5)
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The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 407 RSU's vest on March 10, 2018, and 474 RSU's vest on March 10, 2019.
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(6)
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The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 343 RSU's vest on March 17, 2018, 515 RSU's vest on March 17, 2019, and 601 RSU's vest on March 17, 2020.
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(7)
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The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 573 RSU's vest on August 9, 2018, 860 RSU's vest on August 9, 2019, and 1,003 RSU's vest on August 9, 2020.
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(8)
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The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 16, 2018, 20% vest on March 16, 2019, 30% vest on March 16, 2020, and the remaining 35% vest on March 16, 2021.
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(9)
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The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on August 16, 2018, 20% vest on August 16, 2019, 30% vest on August 16, 2020, and the remaining 35% vest on August 16, 2021.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Collier Michael Manning
209 10TH AVENUE SOUTH
SUITE 450
NASHVILLE, TN 37203
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SVP, BusDev and GenCounsel
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Signatures
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Michael Collier
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8/23/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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