Form 4 for GSHD Goosehead Insurance, Inc.
Accepted 2021-11-05 00:00:00 ET · period of report 2021-11-04 · accession 0001726978-21-000192 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-05 | 2021-11-04+ | GSHD | Colby Michael C. | Pres, COO | S - Sale | $140.15 | -7,000 | 0 | -100% | -$981.0K |
| DMI | 2021-11-05 | 2021-11-04+ | GSHD | Colby Michael C. | Pres, COO | C - Cnv Deriv | $0.00 | 0 | 1,977 | New | $0 |
| DMI | 2021-11-05 | 2021-11-04+ | GSHD | Colby Michael C. | Pres, COO | C - Cnv Deriv | $0.00 | -7,000 | 34.9K | -17% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Class A Common Stock | 2021-11-04 | S | D | 1,523 | $140.08 | 0 | I By Lyla Kate Colby 2014 Trust | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.00 to $140.09, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 2 | Common | Class A Common Stock | 2021-11-05 | S | D | 1,977 | $140.20 | 0 | I By Lyla Kate Colby 2014 Trust | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.20 to $140.24, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 3 | Common | Class B Common Stock | 2021-11-04 | C | D | 1,522 | $0.00 | 34,874 | I By Preston Michael Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 4 | Common | Class A Common Stock | 2021-11-04 | C | A | 1,522 | $0.00 | 1,522 | I By Preston Michael Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 5 | Common | Class A Common Stock | 2021-11-04 | S | D | 1,522 | $140.08 | 0 | I By Preston Michael Colby 2014 Trust | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.00 to $140.09, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 6 | Common | Class B Common Stock | 2021-11-04 | C | D | 1,523 | $0.00 | 34,873 | I By Lyla Kate Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 7 | Common | Class A Common Stock | 2021-11-04 | C | A | 1,523 | $0.00 | 1,523 | I By Lyla Kate Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 8 | Common | Class B Common Stock | 2021-11-05 | C | D | 1,978 | $0.00 | 32,896 | I By Preston Michael Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 9 | Common | Class A Common Stock | 2021-11-05 | C | A | 1,978 | $0.00 | 1,978 | I By Preston Michael Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 10 | Common | Class A Common Stock | 2021-11-05 | S | D | 1,978 | $140.20 | 0 | I By Preston Michael Colby 2014 Trust | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $140.20 to $140.24, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 11 | Common | Class B Common Stock | 2021-11-05 | C | D | 1,977 | $0.00 | 32,896 | I By Lyla Kate Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 12 | Common | Class A Common Stock | 2021-11-05 | C | A | 1,977 | $0.00 | 1,977 | I By Lyla Kate Colby 2014 Trust | — | — | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. |
| 13 | Derivative | LLC Units in Goosehead Financial, LLC | 2021-11-05 | C | D | 1,977 | $0.00 | 32,896 | I By Lyla Kate Colby 2014 Trust | $0.00 · — to — | 1,977 Class A Common Stock | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. (F4) Each LLC Unit, together with a share of Class B common stock, may be converted by the holder into one share of Class A common stock at any time. The LLC Units do not expire. |
| 14 | Derivative | LLC Units in Goosehead Financial, LLC | 2021-11-05 | C | D | 1,978 | $0.00 | 32,896 | I By Preston Michael Colby 2014 Trust | $0.00 · — to — | 1,978 Class A Common Stock | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. (F4) Each LLC Unit, together with a share of Class B common stock, may be converted by the holder into one share of Class A common stock at any time. The LLC Units do not expire. |
| 15 | Derivative | LLC Units in Goosehead Financial, LLC | 2021-11-04 | C | D | 1,523 | $0.00 | 34,873 | I By Lyla Kate Colby 2014 Trust | $0.00 · — to — | 1,523 Class A Common Stock | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. (F4) Each LLC Unit, together with a share of Class B common stock, may be converted by the holder into one share of Class A common stock at any time. The LLC Units do not expire. |
| 16 | Derivative | LLC Units in Goosehead Financial, LLC | 2021-11-04 | C | D | 1,522 | $0.00 | 34,874 | I By Preston Michael Colby 2014 Trust | $0.00 · — to — | 1,522 Class A Common Stock | (F1) Reflects shares of Class A Common Stock, shares of Class B Common Stock or LLC Units, as applicable, held in trust for which the reporting person serves as a trustee and of which immediate family members of the reporting person are beneficiaries. (F4) Each LLC Unit, together with a share of Class B common stock, may be converted by the holder into one share of Class A common stock at any time. The LLC Units do not expire. |