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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 05/20/2020 | 3. Issuer Name and Ticker or Trading Symbol SelectQuote, Inc. [ SLQT ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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, par value $0.01 per share | 426,624 | D | |
Common Stock, par value $0.01 per share | 35,200(1) | I | By Bowen Investments, LLC |
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 Options(2) | (3) | 08/19/2029 | Common Stock, par value $0.01 per share | 30,000 | 3.125 | D | |
Employee Stock Options(2) | (4) | 02/04/2029 | Common Stock, par value $0.01 per share | 30,000 | 1.875 | D | |
Employee Stock Options(2) | (5) | 08/22/2028 | Common Stock, par value $0.01 per share | 36,688 | 1.875 | D | |
Employee Stock Options(2) | (6) | 09/27/2027 | Common Stock, par value $0.01 per share | 36,688 | 1.375 | D |
Explanation of Responses: |
1. Beneficially owned by Mr. Gunter through Bowen Investments, LLC, an investment company in which Mr. Gunter owns a 16% ownership stake. Mr. Gunter disclaims beneficial ownership of the shares held by Bowen Investments, LLC, except to the extent of his pecuniary interest therein. |
2. Represents incentive stock options of SelectQuote, Inc. granted to Mr. Gunter under SelectQuote, Inc.'s 2003 Stock Incentive Plan. |
3. 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 August 20, 2019 and, as of May 20, 2020, none of these options were vested. |
4. 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 February 5, 2019 and, as of May 20, 2020, 12,491 of these options were vested. |
5. 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 August 22, 2018 and, as of May 20, 2020, 11,673 of these options were vested. |
6. 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 May 20, 2020, 23,345 of these options were vested. |
Remarks: |
PRESIDENT, SELECTQUOTE AUTO & HOME |
/s/ Matthew S. Gunter | 05/20/2020 | |
** 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. |