SEC Form 4 · accession 0000899243-16-010863
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard C. Johnston
Officer — Chief Physician Officer
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 5:12 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 31, 2015 | J | 4 | $107.10 | A | 27,852 | I | Indirectly held through UANT Ventures, L.P. |
| Common Stock ($.01 par) | holding | — | — | — | 10,579 | D | ||
| Common Stock ($.01 par) | holding | — | — | — | 397 | I | Indirectly held through Las Colinas Medical Group |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1UANT Ventures, LP ("Ventures") reallocated certain of its partnership interests among its partners based upon the results of a capital call. Dr. Johnston received additional partnership interests as a result of this reallocation, which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.