SEC Form 4 · accession 0001593968-16-000702
UNIVERSAL AMERICAN CORP. · UAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Etheridge
Director
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 4:09 pm EDT
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 | May 2, 2016 | M | 33,000 | $5.98 | A | 93,024 | D | |
| Common StockF2,F1 | May 2, 2016 | F | 27,220 | $7.25 | D | 65,804 | 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 | $5.98 | May 2, 2016 | M | 33,000 | A | — | May 2, 2016 | Common Stock | 33,000 | 66,000 | D |
Explanation of responses
- F1Represents common stock including 20,665 shares of unvested restricted stock.
- F2Shares surrendered to issuer in payment of exercise price in connection with stock option exercise.
- F3Options are fully vested.