SEC Form 4 · accession 0000899243-15-006563
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Rudin
Officer — President and COO · 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 | $15.04 | A | 18,004 | D | |
| Common Stock ($.01 par)F1 | Feb 28, 2015 | A | 303 | $13.74 | A | 18,307 | D | |
| Common Stock ($.01 par)F1 | Mar 31, 2015 | A | 355 | $10.44 | A | 18,662 | D | |
| Common Stock ($.01 par)F1 | Jun 30, 2015 | A | 1,486 | $8.48 | A | 20,148 | D | |
| Common Stock ($.01 par)F1 | Sep 30, 2015 | A | 1,459 | $7.20 | A | 21,607 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $24.84 | holding | — | — | — | — | Dec 10, 2020 | Common Stock | 120,000 | 120,000 | D |
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.
- F2The options vest in five equal annual installments of 24,000 shares beginning on January 31, 2013.