SEC Filing | Health Catalyst, Inc.

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SEC FORM 3 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^*

Alger Jason

(Last)

(First)

(Middle)

C/O HEALTH CATALYST, INC.

3165 MILLROCK DRIVE, #400

(Street)

SALT LAKE CITY

84121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2021

3. Issuer Name and Ticker or Trading Symbol
Health Catalyst, Inc. [ HCAT ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Accounting Officer

5. 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 Beneficially Owned
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	7,634⁽¹⁾⁽²⁾	D
Common Stock	3,125⁽³⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)
Stock Options (Right to buy)	⁽⁴⁾	09/27/2027	Common Stock	8,070	10.8	D
Stock Options (Right to buy)	⁽⁵⁾	05/03/2028	Common Stock	2,242	10.78	D
Stock Options (Right to buy)	⁽⁶⁾	10/26/2027	Common Stock	5,200	10.72	D
Stock Options (Right to buy)	⁽⁷⁾	10/14/2026	Common Stock	832	10.6	D

Explanation of Responses:

1. Represents an award of restricted stock units ("RSUs") granted pursuant to the Issuer's 2019 Stock Option and Incentive Plan (the "2019 Plan"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the terms of the 2019 Plan, 25% of the RSUs vested on December 1, 2020 and the remaining 75% of the RSUs will vest in 12 equal quarterly installments.

2. Includes 134 shares purchased pursuant to the Issuer's 2019 Employee Stock Purchase Plan on December 31, 2020, which transaction is considered exempt pursuant to Rule 16b-3(c) promulgated under the Securities Exchange Act of 1934.

3. Represents an award of RSUs granted pursuant to the 2019 Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the terms of the 2019 Plan, 25% of the RSUs vested on June 1, 2020 and the remaining 75% of the RSUs vested or will vest in 12 equal quarterly installments.

4. 25% of the shares vested on September 25, 2019, and the remaining 75% vest in 36 equal monthly installments thereafter.

5. 25% of the shares vested on May 3, 2019, and the remaining 75% vest in 36 equal monthly installments thereafter.

6. 25% of the shares vested on October 26, 2018, and the remaining 75% vest in 36 equal monthly installments thereafter.

7. 25% of the shares vested on October 14, 2017, and the remaining 75% vest in 36 equal monthly installments thereafter.

Remarks:

	/s/ Daniel Orenstein, as Attorney-in-Fact	01/11/2021
	** 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.