SEC Form 4 · accession 0000899243-15-006560
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M. House
Officer — Chief Executive Officer · Director
Period of report
Jan 31, 2015
Accepted (ET)
Oct 9, 2015 · 4:22 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 | Jan 31, 2015 | A | 510 | $15.04 | A | 81,952 | D | |
| Common Stock ($.01 par)F1 | Feb 28, 2013 | A | 537 | $13.74 | A | 82,489 | D | |
| Common Stock ($.01 par)F1 | Mar 31, 2015 | A | 628 | $10.44 | A | 83,117 | D | |
| Common Stock ($.01 par)F1 | Jun 30, 2015 | A | 2,629 | $8.48 | A | 85,746 | D | |
| Common Stock ($.01 par)F1 | Sep 30, 2015 | A | 2,960 | $7.20 | A | 88,706 | D | |
| Common Stock ($.01 par) | holding | — | — | — | 747,678 | I | Indirectly held through UANT Ventures, L.P. | |
| Common Stock ($.01 par) | holding | — | — | — | 13,248 | I | Held in John M. House, 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
- F1Represents stock compensation granted to 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.