SEC Form 4/A · accession 0001590503-16-000099
Surgical Care Affiliates, Inc. · SCAI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Kenneth R Goulet
Director
Period of report
Jun 1, 2016
Accepted (ET)
Aug 17, 2016 · 4:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001411574
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jun 1, 2016 | A | 1,993 | $0.00 | A | 1,993 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Grant of restricted stock units of the issuer, vesting ratably in equal annual installments over a period of two years from June 1, 2016, pursuant to the Surgical Care Affiliates, Inc. 2013 Omnibus Long-Term Incentive Plan, as amended (the "Plan"), which is exempt under Rule 16b-3(d) of the Securities Exchange Act of 1934, as amended.
- F2Includes 1,993 shares of Common Stock underlying restricted stock units ("RSUs") of the issuer, all of which are subject to time-based vesting. The RSUs vest on the following schedule: 997 RSUs vesting on June 1, 2017 and 996 RSUs vesting on June 1, 2018. Each vested RSU is settled on the earlier of the individual's termination of employment (as defined in the Plan) or a change in control of the issuer.