SEC Form 4 · accession 0000899243-15-006562
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick P. Cummings
Director
Period of report
Jan 31, 2015
Accepted (ET)
Oct 9, 2015 · 4:23 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 | 288 | $15.04 | A | 5,277 | D | |
| Common Stock ($.01 par)F1 | Feb 28, 2015 | A | 606 | $13.74 | A | 5,883 | D | |
| Common Stock ($.01 par)F1 | Mar 31, 2015 | A | 355 | $10.44 | A | 6,238 | D | |
| Common Stock ($.01 par)F1 | Jun 30, 2015 | A | 1,486 | $8.48 | A | 7,724 | D | |
| Common Stock ($.01 par)F1 | Sep 30, 2015 | A | 1,673 | $7.20 | A | 9,397 | D | |
| Common Stock ($.01 par)F2 | Oct 6, 2015 | A | 9,233 | $9.06 | A | 18,630 | D | |
| Common Stock ($.01 par) | holding | — | — | — | 31,271 | I | Indirectly held through UANT Ventures, L.P. |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2Represents stock compensation granted to reporting person under the 2010 USMD Holdings Inc. Equity Compensation Plan for his services as a physician employed by an affiliate of the issuer.