SEC Form 4 · accession 0000899243-15-010130
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
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)F1 | Dec 16, 2015 | A | 4,948 | $7.20 | A | 26,555 | 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 issued pursuant to the USMD Salary Deferral Plan and granted to Mr. Rudin in liqu of cash compensation of $35,627 for his services as President and Chief Operating Officer.
- F2The options vest in five equal annual installments of 24,000 shares beginning on January 31, 2013.