SEC Form 4 · accession 0001209191-15-023729
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carolyn P. Jones
Officer — CFO
Period of report
Mar 4, 2015
Accepted (ET)
Mar 6, 2015 · 6:37 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 | Mar 4, 2015 | A | 919 | $11.93 | A | 919 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to PurchaseF2 | $20.67 | holding | — | — | — | — | Jan 6, 2022 | Common Stock ($.01 par) | 50,000 | 50,000 | D |
Explanation of responses
- F1Represents stock compensation issued pursuant to the USMD Salary Deferral Plan and granted to Ms. Jones in lieu of cash compensation of $10,961 for services as chief financial officer.
- F2Options for 10,000 shares vested on July 6, 2014 (the grant date) and options for 10,000 shares vest on the 1st day of each January beginning on January 1, 2015 and continuing until fully vested.