SEC Form 4 · accession 0000899243-16-027921
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Frederick P. Cummings
Director
Period of report
Dec 15, 2015
Accepted (ET)
Aug 23, 2016 · 4:57 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 | 3,774 | $7.65 | A | 24,033 | D | |
| Common Stock ($.01 par value)F2 | Aug 19, 2016 | J | 335 | $4.69 | A | 37,037 | I | Indirectly held through UANT Ventures, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents stock compensation issued pursuant to the 2010 USMD Holdings, Inc. Equity Compensation Plan and granted to Dr. Cummings in lieu of compensation of $28,871 for his services as a physician employed by an affiliate of the issuer.
- F2Dr. Cummings purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.