SEC Form 4 · accession 0001593968-16-000534
UNIVERSAL AMERICAN CORP. · UAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Barasch
Officer — Chief Executive Officer · Director
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 7:05 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 | Feb 4, 2016 | A | 184,236 | $0.00 | A | 2,513,473 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $6.09 | Feb 4, 2016 | A | 172,522 | A | — | Feb 4, 2021 | Common Stock | 172,522 | 172,522 | D |
Explanation of responses
- F1Represents grant of restricted stock which vests upon the consummation of certain change in control transactions.
- F2Represents common stock including 502,533 shares of unvested restricted stock.
- F3Represents grant of stock options which vests upon the consummation of certain change in control transactions.