SEC Form 4 · accession 0001140361-16-089248
UNIVERSAL AMERICAN CORP. · UAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark K Gormley
Director
Period of report
Dec 7, 2016
Accepted (ET)
Dec 9, 2016 · 3:13 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 StockF1,F2 | Dec 7, 2016 | A | 10,430 | $9.98 | A | 77,229 | I | See Footnote |
| Common Stock | holding | — | — | — | 68,701 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents grant of restricted stock which vests in four equal annual installments beginning December 7, 2017.
- F2Directly owned by Lee Equity Partners, LLC. Lee Equity Partners, LLC is the investment manager of Lee Equity Partners Realization Fund, L.P. and Lee Equity Strategic Partners Realization Fund, L.P. (collectively, the "Funds"). Mr. Gormley is a member and equity owner of the general partner of the Funds. Mr. Gormley disclaims beneficial ownership of shares held by Lee Equity Partners, LLC and the Funds, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Gormley is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.