SEC Form 4 · accession 0001209191-15-023768
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary Rudin
Officer — President and COO · Director
Period of report
Aug 12, 2014
Accepted (ET)
Mar 6, 2015 · 7:24 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 12, 2014 | A | 2,060 | $0.00 | A | 6,091 | D | |
| Common Stock ($.01 par)F2 | Mar 4, 2015 | A | 2,419 | $11.92 | A | 8,510 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $24.84 | holding | — | — | — | — | Dec 10, 2020 | Common Stock | 120,000 | 120,000 | D |
Explanation of responses
- F1Represents stock compensation granted to Mr. Rudin 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 Mr. Rudin in lieu of cash compensation of $28,841 for services as President and Chief Operating Officer.
- F3The option vests in five equal annual installments of 24,000 shares beginning on January 31, 2013.