HealthStream, Inc.
HEALTHSTREAM INC (Form: 3, Received: 08/23/2017 17:47:49)
FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Collier Michael Manning

2. Date of Event Requiring Statement (MM/DD/YYYY)
8/16/2017 

3. Issuer Name and Ticker or Trading Symbol

HEALTHSTREAM INC [HSTM]

(Last)        (First)        (Middle)

209 10TH AVENUE SOUTH, SUITE 450

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

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
SVP, BusDev and GenCounsel /

(Street)

NASHVILLE, TN 37203       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

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   2590   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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)   8/24/2015   8/24/2019   Common Stock   2800   $11.97   D    
Restricted Share Units     (1)   (2) Common Stock   417   $0.00   (3) D    
Restricted Share Units     (4)   (2) Common Stock   773   $0.00   (3) D    
Restricted Share Units     (5)   (2) Common Stock   881   $0.00   (3) D    
Restricted Share Units     (6)   (2) Common Stock   1459   $0.00   (3) D    
Restricted Share Units     (7)   (2) Common Stock   2436   $0.00   (3) D    
Restricted Share Units     (8)   (2) Common Stock   1473   $0.00   (3) D    
Restricted Share Units     (9)   (2) Common Stock   4500   $0.00   (3) D    

Explanation of Responses:
(1)  The RSU's vest on March 11, 2018, contingent upon continued service at the time of vesting.
(2)  Not applicable.
(3)  Each restricted share unit (RSU) represents the contingent right to receive one share of common stock upon vesting of the unit.
(4)  The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 356 RSU's vest on October 6, 2017, and 417 RSU's vest on October 6, 2018.
(5)  The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 407 RSU's vest on March 10, 2018, and 474 RSU's vest on March 10, 2019.
(6)  The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 343 RSU's vest on March 17, 2018, 515 RSU's vest on March 17, 2019, and 601 RSU's vest on March 17, 2020.
(7)  The RSU's are subject to a vesting schedule, contingent upon continued service at the time of vesting. 573 RSU's vest on August 9, 2018, 860 RSU's vest on August 9, 2019, and 1,003 RSU's vest on August 9, 2020.
(8)  The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on March 16, 2018, 20% vest on March 16, 2019, 30% vest on March 16, 2020, and the remaining 35% vest on March 16, 2021.
(9)  The RSU's are subject to a four year vesting schedule, contingent upon continued service at the time of vesting. 15% vest on August 16, 2018, 20% vest on August 16, 2019, 30% vest on August 16, 2020, and the remaining 35% vest on August 16, 2021.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Collier Michael Manning
209 10TH AVENUE SOUTH
SUITE 450
NASHVILLE, TN 37203


SVP, BusDev and GenCounsel

Signatures
Michael Collier 8/23/2017
** 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.
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LIMITED POWER OF ATTORNEY

KNOW ALL MEN BY THESE PRESENTS, that Michael Collier has made, constituted and appointed, and by these presents does make, constitute and appoint Gerard Hayden, Scott Roberts, or Amelia Emmert as its true and lawful attorney-in-fact, for its and in its name, place and stead, and for its use and benefit, to do all things and to execute all documents necessary to ensure compliance with Section 16 reporting requirements associated with my relationship with HealthStream, Inc.

It is my intention by this instrument to grant unto said attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever to accomplish the foregoing grant of power as shall be necessary to be done on my behalf as fully to all intents and purposes as I might or could do if I was present in person.

This power of attorney may be revoked by the undersigned only by specific revocation endorsed or written hereon, and until such revocation be endorsed or written hereon, all persons may rely upon this power of attorney as being in full force and effect.

IN WITNESS WHEREOF, I have hereunto set my hand, the 22nd day of August, 2017.

/s/ Michael Collier