SEC Form 4 · accession 0000899243-15-006566

USMD Holdings, Inc. · USMD

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jan 31, 2015

Accepted (ET)

Oct 9, 2015 · 4:26 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	$15.04	A	7,220	D
Common Stock ($.01 par)^F1	Feb 28, 2015	A	303	$13.74	A	7,523	D
Common Stock ($.01 par)^F1	Mar 31, 2015	A	355	$10.44	A	7,878	D
Common Stock ($.01 par)^F1	Jun 30, 2015	A	1,486	$8.48	A	9,364	D
Common Stock ($.01 par)^F1	Sep 30, 2015	A	1,673	$7.20	A	11,037	D
Common Stock ($.01 par)^F2	Oct 6, 2015	A	6,066	$9.06	A	17,103	D
Common Stock ($.01 par)	holding	—	—		—	122,513	I	Indirectly held through UANT Ventures, L.P.
Common Stock ($.01 par)	holding	—	—		—	13,248	I	Held in James G. Saalfield, MD, P.A.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Options to Purchase^F1	$24.84	Sep 18, 2015	J	60	A	Aug 31, 2012	Aug 31, 2017	Common Stock ($.01 par)	60	1,775	I

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.