SEC Form 4 · accession 0000899243-15-010129
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Allan Yonke
Officer — Chief Development Officer
Period of report
Dec 16, 2015
Accepted (ET)
Dec 18, 2015 · 3:24 pm EST
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 valueF1 | Dec 16, 2015 | A | 1,402 | $7.20 | A | 8,697 | 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 | $26.92 | holding | — | — | — | — | Nov 14, 2021 | Common Stock ($.01 par value) | 70,000 | 70,000 | D |
Explanation of responses
- F1Represents stock compensation issued pursuant to the USMD Salary Deferral Plan and granted to Mr. Yonke in liqu of cash commpensation of $10,096 for his sesrvices as Chief Development Officer.
- F2The options vest in five equal annual installments of 14,000 shares beginning on January 1, 2014 and ending on January 1, 2018.