SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Cozzens Todd C

(Last) (First) (Middle)
C/O HEALTH CATALYST, INC.
3165 MILLROCK DRIVE, #400

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Health Catalyst, Inc. [ HCAT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
07/29/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 07/29/2019 C 43,967 A $0(1) 134,331 D
Common Stock 07/29/2019 C 6,344 A $0(2) 140,675 I By Matoaka, LLC(3)
Common Stock 07/29/2019 C 943,484 A $0(4) 1,084,159 I By Leerink Transformation Fund I, L. P.(5)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
Series C Preferred Stock (1) 07/29/2019 C 43,967 (1) (1) Common Stock 43,967 $0(1) 0 D
Series D Preferred Stock (2) 07/29/2019 C 6,344 (2) (2) Common Stock 6,344 $0(2) 0 D
Series E Preferred Stock (4) 07/29/2019 C 943,484 (4) (4) Common Stock 943,484 $0(4) 0 D
Explanation of Responses:
1. Each share of Series C Preferred Stock automatically converted to common stock immediately prior to the closing of the Issuer's initial public offering on a one-for-one basis, and had no expiration date.
2. Each share of Series D Preferred Stock automatically converted to common stock immediately prior to the closing of the Issuer's initial public offering on a one-for-one basis, and had no expiration date.
3. The shares are held by Matoaka, LLC and the Reporting Person holds the voting and dispositive power over the shares.
4. Each share of Series E Preferred Stock automatically converted to common stock immediately prior to the closing of the Issuer's initial public offering on a one-for-one basis, and had no expiration date.
5. The shares are held by Leerink Transformation Fund I, L.P. ("Leerink") and the Reporting Person is a co-founder and Managing Partner of Leerink and holds voting and dispositive power over the shares.
Remarks:
/s/ Daniel Orenstein, as Attorney-in-Fact 07/29/2019
** 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).
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