SEC Form 4 · accession 0001140361-15-042072
UNIVERSAL AMERICAN CORP. · UAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard C Perry
Director
Period of report
Nov 13, 2015
Accepted (ET)
Nov 17, 2015 · 5:20 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, par value $0.01 per shareF1,F2 | Nov 13, 2015 | A | 1,804 | $0.00 | A | 2,706,736 | I | By Perry Partners, L.P. |
| Common Stock, par value $0.01 per shareF3,F2 | Nov 13, 2015 | A | 1,804 | $0.00 | A | 2,708,540 | I | By Perry Partners, L.P. |
| Common Stock, par value $0.01 per shareF1,F2 | Nov 13, 2015 | A | 3,349 | $0.00 | A | 13,051 | I | By Perry Partners International Master, Inc. |
| Common Stock, par value $0.01 per shareF3,F2 | Nov 13, 2015 | A | 3,349 | $0.00 | A | 16,400 | I | By Perry Partners International Master, Inc. |
| Common Stock, par value $0.01 per shareF1,F2 | Nov 13, 2015 | A | 89 | $0.00 | A | 89,899 | I | By Perry Private Opportunities Offshore Fund, L.P. |
| Common Stock, par value $0.01 per shareF3,F2 | Nov 13, 2015 | A | 89 | $0.00 | A | 89,988 | I | By Perry Private Opportunities Offshore Fund, L.P. |
| Common Stock, par value $0.01 per shareF1,F2 | Nov 13, 2015 | A | 489 | $0.00 | A | 492,232 | I | By Perry Private Opportunities Fund, L.P. |
| Common Stock, par value $0.01 per shareF3,F2 | Nov 13, 2015 | A | 489 | $0.00 | A | 492,721 | I | By Perry Private Opportunities Fund, L.P. |
| Common Stock, par value $0.01 per shareF2 | holding | — | — | — | 4,414,601 | I | By Perry Partners International, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of restricted stock vest as to one-quarter of the number of shares on November 13, 2016, one-quarter of the number of shares on November 13, 2017, one-quarter of the number of shares on November 13, 2018, and one-quarter of the number of shares on November 13, 2019.
- F2The direct or indirect general partner and/or investment manager of Perry Partners, L.P., Perry Partners International, Inc., Perry Partners International Master , Inc., Perry Private Opportunities Offshore Fund, L.P. and Perry Private Opportunities Fund, L.P. (collectively, the "Perry Funds") is Perry Corp., of which Mr. Perry is the President and sole shareholder. Perry Corp. and Mr. Perry may be deemed to have voting and dispositive power with respect to shares held by the Perry Funds. Each of Mr. Perry and Perry Corp. disclaims beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that either Mr. Perry or Perry Corp. is the beneficial owner of the shares for purposes of Section 16 of the Exchange Act or for any other purpose.
- F3These shares of restricted stock vest as to one-quarter of the number of shares on November 13, 2016, one-quarter of the number of shares on November 13, 2017, one-quarter of the number of shares on November 13, 2018, and one-quarter of the number of shares on November 13, 2019, in each case subject to the Issuer having met a specified target of stock price appreciation.