SEC Form 4 · accession 0001209191-15-033121
USMD Holdings, Inc. · USMD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M. Patrick Collini
Director
Period of report
Apr 7, 2015
Accepted (ET)
Apr 8, 2015 · 4:15 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)F1 | Apr 7, 2015 | J | 4,468 | $10.67 | A | 120,623 | I | Indirectly held through UANT Ventures, L.P. |
| Common Stock ($.01 par) | holding | — | — | — | 6,094 | D | ||
| Common Stock ($.01 par) | holding | — | — | — | 13,248 | I | Held in M. Patrick Collini, 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) | 1,745 | 1,745 | I |
Explanation of responses
- F1Dr. Collini purchased additional partnership interests in UANT Ventures, L.P., which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by UANT Ventures, L.P.