SEC Form 4 · accession 0001209191-15-023748
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John M. House
Officer — Chief Executive Officer · Director
Period of report
Aug 14, 2014
Accepted (ET)
Mar 6, 2015 · 6:50 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 | Aug 14, 2014 | A | 3,643 | $0.00 | A | 59,519 | D | |
| Common Stock )$.01 par)F2 | Mar 4, 2015 | A | 4,748 | $11.92 | A | 64,267 | D | |
| Common Stock ($.01 par) | holding | — | — | — | 734,425 | I | Indirectly held through UANT Ventures, L.P. | |
| Common Stock )$.01 par) | holding | — | — | — | 13,248 | I | Held in John M. House 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 Purchase | $24.84 | holding | — | — | — | Aug 31, 2012 | Aug 31, 2017 | Common Stock ($.01 par) | 1,813 | 1,813 | I |
Explanation of responses
- F1Represents stock compensation granted to Dr. House under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a director.
- F2Represents stock compensation issued pursuant to the USMD Salary Deferral Plan and granted to Dr. House in lieu of cash compensation of $56,604 for services as Chief Executive Officer.