SEC Form 4 · accession 0000899243-15-006558
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M. Patrick Collini
Director
Period of report
Jan 31, 2015
Accepted (ET)
Oct 9, 2015 · 4:21 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)F2 | Jan 31, 2015 | A | 288 | $15.04 | A | 13,420 | D | |
| Common Stock ($.01 par)F2 | Feb 28, 2015 | A | 303 | $13.74 | A | 13,723 | D | |
| Common Stock ($.01 par)F2 | Mar 31, 2015 | A | 355 | $10.44 | A | 14,078 | D | |
| Common Stock ($.01 par)F2 | Jun 30, 2015 | A | 1,486 | $8.48 | A | 15,564 | D | |
| Common Stock ($.01 par)F2 | Sep 30, 2015 | A | 1,287 | $7.20 | A | 16,851 | D | |
| Common Stock ($.01 par)F3 | Oct 6, 2015 | A | 2,377 | $9.06 | A | 19,228 | D | |
| Common Stock ($.01 par) | holding | — | — | — | 124,875 | I | Indirectly held through UANT Ventures, L.P. | |
| Common Stock ($.01 par) | holding | — | — | — | 13,248 | I | Held in M. Patrick Collini, 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 | $24.84 | Sep 18, 2015 | J | 75 | A | Aug 31, 2012 | Aug 31, 2017 | Common Stock ($.01 par) | 75 | 1,820 | I |
Explanation of responses
- F1Dr. Collini purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares and options to purchase shares of the issuer's common stock held by Ventures. The aggregate consideration paid by Dr. Collini for the Ventures partnership interest was $8,807, all of which is reflected in the per share price set forth in Column 4 of Table I.
- F2Represents stock compensation granted to the 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.
- F3Represents stock compensation granted to the reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a physician employed by an affiliate of the issuer.