SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 08/01/2023 |
3. Issuer Name and Ticker or Trading Symbol
Tabula Rasa HealthCare, Inc. [ TRHC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 22,955(1)(2)(3)(4) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (5) | 02/14/2029 | Common Stock | 1,250 | 55.13 | D | |
Employee Stock Option (right to buy) | (6) | 02/14/2029 | Common Stock | 2,500 | 55.13 | D | |
Employee Stock Option (right to buy) | (7) | 03/05/2029 | Common Stock | 723 | 54.76 | D | |
Employee Stock Option (right to buy) | (8) | 03/05/2029 | Common Stock | 527 | 54.76 | D |
Explanation of Responses: |
1. Amount includes a restricted stock award of 205 shares of the Company's common stock received by Mr. Bruno on February 24, 2020. Such common stock vested one- fourth on January 18, 2021 and has continued to vest in equal one-fourth installments annually thereafter. |
2. Amount includes a restricted stock award of 750 shares of the Company's common stock received by Mr. Bruno on January 28, 2021. Such common stock vested one- fourth on January 12, 2022 and has continued to vest in equal one-fourth installments annually thereafter. |
3. Amount includes a restricted stock award of 1,230 shares of the Company's common stock received by Mr. Bruno on October 15, 2021. Such common stock vested one- fourth on January 1, 2023 and has continued to vest in equal one-fourth installments annually thereafter. |
4. Amount includes a grant of 12,960 restricted stock units received by Mr. Bruno on May 1, 2023. Each restricted stock unit represents a contingent right to receive one share of the Company's common stock. Such common stock will vest one-fourth on January 1, 2024, and will continue to vest in equal one-fourth installments annually thereafter. |
5. The Stock Option vested one-fourth on January 1, 2020 and vested in equal 1/36th installments each month thereafter. |
6. The Stock Option vested one-fourth on February 14, 2020 and vested in equal 1/36th installments each month thereafter. |
7. The Stock Option vested one-fourth on January 1, 2020 and vested in equal 1/36th installments each month thereafter. |
8. The Stock Option vested one-fourth on January 1, 2020 and vested in equal 1/36th installments each month thereafter. |
/s/ Brian W. Adams, by Power of Attorney | 08/10/2023 | |
** 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 5 (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 Number. |