SEC Form 4 · accession 0000899243-16-027914
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James G. Saalfield
Director
Period of report
Dec 15, 2015
Accepted (ET)
Aug 23, 2016 · 4:53 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 value)F1 | Dec 15, 2015 | A | 1,077 | $7.65 | A | 19,809 | D | |
| Common Stock ($.01 par value) | holding | — | — | — | 121,464 | I | Indirectly held through UANT Ventures, L.P. | |
| Common Stock ($.01 par value) | holding | — | — | — | 13,248 | I | Indirectly held through James G. Saalfield, 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to purchaser | $24.84 | holding | — | — | — | Aug 31, 2012 | Aug 31, 2017 | Common Stock ($0.01 par) | 1,756 | 1,756 | I |
Explanation of responses
- F1Represents stock compensation issued pursuant to the 2010 USMD Holdings, Inc. Equity Compensation Plan and granted to Dr. Saalfield in lieu of compensation of $8,239 for his services as a physician employed by an affiliate of the issuer.