4//SEC Filing
USMD Holdings, Inc. 4
Accession 0000899243-15-006475
CIK 0001507881operating
Filed
Oct 7, 8:00 PM ET
Accepted
Oct 8, 5:53 PM ET
Size
16.6 KB
Accession
0000899243-15-006475
Insider Transaction Report
Form 4
Dickey Russell A.
Director
Transactions
- Award
Common Stock ($.01 par)
2015-02-28$13.74/sh+303$4,163→ 18,472 total - Award
Common Stock ($.01 par)
2015-09-30$7.20/sh+1,673$12,046→ 21,986 total - Award
Common Stock ($.01 par)
2015-10-06$9.06/sh+5,618$50,899→ 27,604 total - Award
Common Stock ($.01 par)
2015-10-07$1.00/sh+37$37→ 33,879 total(indirect: Indirectly held through UANT Ventures, L.P.) - Award
Common Stock ($.01 par)
2015-03-31$10.44/sh+355$3,706→ 18,827 total - Award
Common Stock ($.01 par)
2015-01-31$15.04/sh+288$4,332→ 18,169 total - Award
Common Stock ($.01 par)
2015-06-30$8.48/sh+1,486$12,601→ 20,313 total
Holdings
- 34,498(indirect: Indiectly held through AOB Surgical Group, Ltd.)
Right to purchase
Exercise: $23.37From: 2014-09-01→ 5% Convertible Subordinated Notes Due 2019 (34,498 underlying)
Footnotes (4)
- [F1]Represents stock compensation granted to reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a director for the period from January 2015 through September 2015.
- [F2]Represents stock compensation granted to reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a physician employed by an affiliate of the issuer.
- [F3]Dr. Dickey purchased additional partnership interests in UANT Ventures, L.P., which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by UANT Ventures, L.P.
- [F4]The noteholder has the right at any time prior to the payment in full of the note, to convert all or any portion of the unpaid principal balance of the note into shares of the issuer's common stock. This conversion right expires on March 1, 2019, the maturity date of the note, or upon the earlier payment in full of the principal balance of the note.
Documents
Issuer
USMD Holdings, Inc.
CIK 0001507881
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001507881
Filing Metadata
- Form type
- 4
- Filed
- Oct 7, 8:00 PM ET
- Accepted
- Oct 8, 5:53 PM ET
- Size
- 16.6 KB