4/A//SEC Filing
USMD Holdings, Inc. 4/A
Accession 0000899243-16-028211
CIK 0001507881operating
Filed
Aug 29, 8:00 PM ET
Accepted
Aug 30, 9:29 AM ET
Size
10.0 KB
Accession
0000899243-16-028211
Insider Transaction Report
Form 4/AAmended
House John M.
DirectorChief Executive Officer
Transactions
- Purchase
7.25% Convertible Subordinated Note due 2020
2015-04-29$10.61/sh→ 23,563 totalExercise: $10.61From: 2016-04-29→ Common Stock ($0.01 par) (23,563 underlying)
Holdings
- 13,248(indirect: Indirectly held through John M. House MD, P.A)
Common Stock ($.01 par value)
- 1,745(indirect: Indirectly held through UANT Ventures, L.P.)
Option to purchaser
Exercise: $24.84From: 2012-08-31Exp: 2017-08-31→ Common Stock ($0.01 par) (1,745 underlying) - 743,425(indirect: Indirectly held through UANT Ventures, L.P)
Common Stock ($.01 par value)
- 64,267
Common Stock ($.01 par value)
Footnotes (4)
- [F1]The number of underlying and derivative securities held by the reporting person was erroneously reported in the original Form 4 as 1,813, rather than the correct 1,745.
- [F2]In connection with a private offering conducted pursuant to Regulation D of the Securities Act of 1933, as amended, the issuer issued a 7.25% convertible subordinated note in the principal amount of $250,000 to the reporting person.
- [F3]The noteholder has the right at any time after April 29, 2016 but prior to the payment in full of the note by the issuer, 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 November 1, 2020, the maturity date of the note, or upon the earlier payment in full of the unpaid principal balance of the note
- [F4]The number of derivative securities reported in Table II, Column 9 was erroneously reported as 26,563, rather than the correct 23,563.
Documents
Issuer
USMD Holdings, Inc.
CIK 0001507881
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001507881
Filing Metadata
- Form type
- 4/A
- Filed
- Aug 29, 8:00 PM ET
- Accepted
- Aug 30, 9:29 AM ET
- Size
- 10.0 KB