Statement of Changes in Beneficial Ownership (4)
August 10 2020 - 6:50PM
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
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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
*
Gunter Matthew Scott |
2. Issuer Name and Ticker or Trading Symbol
SelectQuote, Inc.
[
SLQT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O SELECTQUOTE, INC., 6800 WEST 115TH STREET, SUITE 2511 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/29/2020 |
(Street)
OVERLAND PARK, KS 66211
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $0.01 per share | 7/29/2020 | | M | | 9000 | A | $1.375 | 371836 | D | |
Common Stock, par value $0.01 per share | 8/10/2020 | | M | | 2000 | A | $1.375 | 373836 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Employee Stock Options | $1.375 | 7/29/2020 | | M | | | 9000 (1) | (2) | 9/27/2027 | Common Stock, par value $0.01 per share | 9000 | $0.00 | 27688 | D | |
Restricted Stock Units (3) | (4) | 8/1/2020 | | A | | 2250 | | (5) | (5) | Common Stock, par value $0.01 per share | 2250 | $0.00 | 2250 | D | |
Employee Stock Options (6) | $17.89 | 8/1/2020 | | A | | 9000 | | (7) | 8/1/2030 | Common Stock, par value $0.01 per share | 9000 | $0.00 | 9000 | D | |
Employee Stock Options | $1.375 | 8/10/2020 | | M | | | 2000 (1) | (2) | 9/27/2027 | Common Stock, par value $0.01 per share | 2000 | $0.00 | 25688 | D | |
Explanation of Responses: |
(1) | Represents incentive stock options of SelectQuote, Inc. granted to Mr. Gunter under SelectQuote, Inc.'s 2003 Stock Incentive Plan. |
(2) | Employee stock options vest as to one-third on the first anniversary of the date of the grant and as to 1/24 of the remaining shares subject to the stock option monthly thereafter, subject to the award recipient's continued employment through the applicable vesting date. Mr. Gunter's employee stock options reported on this line were granted on September 28, 2017 and, as of August 10, 2020, 19,016 of these options were vested. |
(3) | Represents restricted stock units of SelectQuote, Inc. granted to Mr. Gunter under SelectQuote Inc.'s 2020 Omnibus Stock Incentive Plan. |
(4) | Each restricted stock unit represents a contingent right to receive one share of SelectQuote, Inc. common stock, par value $0.01 per share. |
(5) | The restricted stock units vest in four equal installments on the first four anniversaries of the date of grant, subject to the award recipient's continued employment through the applicable vesting date. |
(6) | Represents non-qualified stock options of SelectQuote, Inc. granted to Mr. Gunter under SelectQuote Inc.'s 2020 Omnibus Stock Incentive Plan. |
(7) | Employee stock options vest in four equal installments on the first four anniversaries of the grant date, subject to the award recipient's continued employment through the applicable vesting date. |
Remarks: PRESIDENT, SELECTQUOTE AUTO & HOME |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gunter Matthew Scott C/O SELECTQUOTE, INC. 6800 WEST 115TH STREET, SUITE 2511 OVERLAND PARK, KS 66211 |
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| See Remarks |
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Signatures
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/s/ Daniel A. Boulware, Attorney in Fact | | 8/10/2020 |
**Signature of Reporting Person | Date |
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