SEC Form 4 · accession 0000899243-16-014226
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M. Patrick Collini
Director
Period of report
Feb 22, 2016
Accepted (ET)
Feb 24, 2016 · 5:45 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 | Feb 22, 2016 | J | 2,927 | $1.99 | A | 130,929 | I | Indirectly held through UANT Ventures, L.P. |
| Common Stock ($.01 par) | holding | — | — | — | 20,857 | D | ||
| Common Stock ($.01 par) | holding | — | — | — | 13,248 | I | Held in M. Patrick Collini, MD, P.A. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to PurchaseF1 | $24.84 | Feb 22, 2016 | J | 51 | A | Aug 31, 2012 | Aug 31, 2017 | Common Stock ($.01 par) | 1,800 | 1,800 | I |
Explanation of responses
- F1Dr. Collini purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares and options to purchase shares of the issuer's common stock held by Ventures. The aggregate consideration paid by Dr. Collini for the Ventures partnership interest was $5,818, all of which is reflected in the per share price set forth in Column 4 of Table I.