4//SEC Filing
USMD Holdings, Inc. 4
Accession 0000899243-16-025622
CIK 0001507881operating
Filed
Jul 24, 8:00 PM ET
Accepted
Jul 25, 12:04 PM ET
Size
9.7 KB
Accession
0000899243-16-025622
Insider Transaction Report
Form 4
Dickey Russell A.
Director
Transactions
- Other
Common Stock ($.01 par value)
2016-07-22$3.90/sh+95$371→ 39,541 total(indirect: Indirectly held through UANT Ventures, L.P.) - Other
Common Stock ($.01 par value)
2016-07-22$2.17/sh−26$56→ 39,515 total(indirect: Indirectly held through UANT Ventures, L.P.)
Holdings
- 29,223
Common Stock ($.01 par value)
- 34,498(indirect: Indirectly 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 (3)
- [F1]Dr. Dickey purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.
- [F2]As reported in a Form 4 filed on May 6, 2016, Dr. Dickey acquired additional partnership interests in Ventures, which increased his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures. There was an error in the calculation of the amount of partnership interests Dr. Dickey was entitled to acquire in that transaction, which resulted in Dr. Dickey's acquisition of more partnership interests in Ventures than was intended. To correct the miscalculation, on July 22, 2016, Dr. Dickey disposed of some of his partnership interests in Ventures, which decreased his indirect beneficial ownership of the issuer.
- [F3]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 unpaid 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
- Jul 24, 8:00 PM ET
- Accepted
- Jul 25, 12:04 PM ET
- Size
- 9.7 KB