SEC Form 4 · accession 0000899243-15-005230
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G. Saalfield
Director
Period of report
Sep 18, 2015
Accepted (ET)
Sep 22, 2015 · 6:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001507881
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock ($.01 par)F1 | Sep 18, 2015 | J | 3,381 | $2.07 | A | 122,513 | I | Indirectly held through UANT Ventures, L.P. |
| Common Stock ($.01 par) | holding | — | — | — | 6,932 | D | ||
| Common Stock ($.01 par) | holding | — | — | — | 13,248 | I | Held in James G. Saalfield, MD, P.A. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to PurchaseF1 | $24.84 | Sep 18, 2015 | J | 60 | A | Aug 31, 2012 | Aug 31, 2017 | Common Stock ($.01 par) | 60 | 1,775 | I |
Explanation of responses
- F1Dr. Saalfield purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of shares and options to purchase shares of the issuer's common stock held by Ventures. The aggregate consideration paid by Dr. Saalfield for the Ventures partnership interest was $7,001, all of which is reflected in the per share price set forth in Column 4 of Table I.