SEC Form 4 · accession 0001104659-15-079743

UNIVERSAL AMERICAN CORP. · UAM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Administrative Officer

Period of report

Aug 12, 2015

Accepted (ET)

Nov 17, 2015 · 9:02 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001514128

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F2	Aug 12, 2015	G	29,675	$0.00	D	57,350	D
Common Stock^F3,F4	Nov 13, 2015	A	85,960	$0.00	A	143,310	D
Common Stock^F5	Nov 13, 2015	G	42,980	$0.00	D	100,330	D
Common Stock^F6	Aug 12, 2015	G	29,675	$0.00	A	29,675	I	By Wife
Common Stock^F7	Nov 13, 2015	G	42,980	$0.00	A	72,655	I	By Wife

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F1	$6.18	Aug 12, 2015	G	25,000	D	—	Mar 4, 2018	Common Stock	25,000	25,000	D
Stock Option (Right to Buy)^F1	$6.18	Aug 12, 2015	G	25,000	A	—	Mar 4, 2018	Common Stock	25,000	25,000	I
Stock Option (Right to Buy)^F1	$5.86	Aug 12, 2015	G	12,500	D	—	Oct 16, 2017	Common Stock	12,500	12,500	D
Stock Option (Right to Buy)^F1	$5.86	Aug 12, 2015	G	12,500	A	—	Oct 16, 2017	Common Stock	12,500	12,500	I
Stock Option (Right to Buy)^F1	$6.05	Aug 12, 2015	G	25,118	D	—	Feb 6, 2019	Common Stock	25,118	25,120	D
Stock Option (Right to Buy)^F1	$6.05	Aug 12, 2015	G	25,118	A	—	Feb 6, 2019	Common Stock	25,118	25,118	I
Stock Option (Right to Buy)^F1	$8.41	Aug 12, 2015	G	6,530	D	—	Feb 13, 2020	Common Stock	6,530	6,530	D
Stock Option (Right to Buy)^F1	$8.41	Aug 12, 2015	G	6,530	A	—	Feb 13, 2020	Common Stock	6,530	6,530	I
Stock Option (Right to Buy)^F1	$8.41	Aug 12, 2015	G	6,528	D	—	Feb 13, 2020	Common Stock	6,528	6,532	D
Stock Option (Right to Buy)^F1	$8.41	Aug 12, 2015	G	6,528	A	—	Feb 13, 2020	Common Stock	6,528	6,528	I

F1Represents a gift of awards from the named officer to his spouse. The original vesting schedule applies.
F2Represents common stock including 29,680 shares of unvested restricted stock.
F3Represents grant of restricted stock which will vest on the six-month anniversary of a Change in Control (as defined in the 2011 Omnibus Equity Award Plan).
F4Represents common stock including 114,702 shares of unvested restricted stock.
F5Represents common stock including 71,722 shares of unvested restricted stock.
F6Represents common stock including 29,675 shares of unvested restricted stock.
F7Represents common stock including 71,718 shares of unvested restricted stock.