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*
Bullock D Fraser

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

(Street)
SALT LAKE CITY UT 84121

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
07/24/2019
3. Issuer Name and Ticker or Trading Symbol
Health Catalyst, Inc. [ HCAT ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
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)
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)
Date Exercisable Expiration Date Title Amount or Number of Shares
Series B Preferred Stock (1) (1) Common Stock 636,780 (1) I See footnote(2)
Series C Preferred Stock (3) (3) Common Stock 345,591 (3) I See footnote(2)
Series D Preferred Stock (4) (4) Common Stock 235,916 (4) I See footnote(2)
Explanation of Responses:
1. Each share of Series B Preferred Stock is convertible on a one-for-one basis into the number of shares of the Issuer's common stock shown in column 3 at any time at the Reporting Person's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock has no expiration date.
2. These shares are held directly by HQC Acquisition, LLC. The Reporting Person is the President of HQC Acquisition, LLC and it is controlled by Sorenson Capital Partners. The Reporting Person is a Founding member and General Partner of Sorenson Capital Partners and disclaims beneficial ownership of the shares held by HQC Acquisition, LLC except to the extent of his pecuniary interest therein.
3. Each share of Series C Preferred Stock is convertible on a one-for-one basis into the number of shares of the Issuer's common stock shown in column 3 at any time at the Reporting Person's election and automatically upon the closing of the Issuer's initial public offering. The Series C Preferred Stock has no expiration date.
4. Each share of Series D Preferred Stock is convertible on a one-for-one basis into the number of shares of the Issuer's common stock shown in column 3 at any time at the Reporting Person's election and automatically upon the closing of the Issuer's initial public offering. The Series D Preferred Stock has no expiration date.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Daniel Orenstein, as Attorney-in-Fact 07/24/2019
** 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 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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