SEC Form 4 · accession 0001593968-16-001360

UNIVERSAL AMERICAN CORP. · UAM

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

Reporting owner

Officer — Chief Administration Officer

Period of report

Dec 28, 2016

Accepted (ET)

Dec 29, 2016 · 4:32 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^F1	Dec 28, 2016	M	12,500	$5.86	A	115,845	D
Common Stock^F2,F1	Dec 28, 2016	F	9,202	$10.01	D	106,643	D
Common Stock^F1	Dec 28, 2016	M	18,750	$6.18	A	125,393	D
Common Stock^F2,F1	Dec 28, 2016	F	14,184	$10.01	D	111,209	D
Common Stock^F1	Dec 28, 2016	M	12,560	$6.05	A	123,769	D
Common Stock^F2,F1	Dec 28, 2016	F	9,398	$10.01	D	114,371	D
Common Stock^F1	Dec 28, 2016	M	1,633	$8.41	A	116,004	D
Common Stock^F2,F1	Dec 28, 2016	F	1,467	$10.01	D	114,537	D
Common Stock^F3	Dec 28, 2016	M	12,500	$5.86	A	118,530	I	By Wife
Common Stock^F2,F3	Dec 28, 2016	F	7,318	$10.01	D	111,212	I	By Wife
Common Stock^F3	Dec 28, 2016	M	18,750	$6.18	A	129,962	I	By Wife
Common Stock^F2,F3	Dec 28, 2016	F	11,576	$10.01	D	118,386	I	By Wife
Common Stock^F3	Dec 28, 2016	M	12,559	$6.05	A	130,945	I	By Wife
Common Stock^F2,F3	Dec 28, 2016	F	7,591	$10.01	D	123,354	I	By Wife
Common Stock^F3	Dec 28, 2016	M	1,632	$8.41	A	124,986	I	By Wife
Common Stock^F2,F3	Dec 28, 2016	F	1,372	$10.01	D	123,614	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)^F4	$6.18	Dec 28, 2016	M	18,750	D	—	Mar 4, 2018	Common Stock	18,750	6,250	D
Stock Option (Right to Buy)^F5	$5.86	Dec 28, 2016	M	12,500	D	—	Oct 16, 2017	Common Stock	12,500	0	D
Stock Option (Right to Buy)^F6	$6.05	Dec 28, 2016	M	12,560	D	—	Feb 6, 2019	Common Stock	12,560	12,558	D
Stock Option (Right to Buy)^F7	$8.41	Dec 28, 2016	M	1,633	D	—	Feb 13, 2020	Common Stock	1,633	4,897	D
Stock Option (Right to Buy)^F4	$6.18	Dec 28, 2016	M	18,750	D	—	Mar 4, 2018	Common Stock	18,750	6,250	I
Stock Option (Right to Buy)^F5	$5.86	Dec 28, 2016	M	12,500	D	—	Oct 16, 2017	Common Stock	12,500	0	I
Stock Option (Right to Buy)^F6	$6.05	Dec 28, 2016	M	12,559	D	—	Feb 6, 2019	Common Stock	12,559	12,559	I
Stock Option (Right to Buy)^F7	$8.41	Dec 28, 2016	M	1,632	D	—	Feb 13, 2020	Common Stock	1,632	4,898	I

F1Represents common stock including 83,615 shares of unvested restricted stock.
F2Shares surrendered to issuer in payment of exercise price and tax liability in connection with stock option exercise.
F3Represents common stock including 83,613 shares of unvested restricted stock.
F4Represents grant of stock options which vests in four equal installments beginning March 4, 2014.
F5Represents grant of stock options which vests in four equal installments beginning October 16, 2013.
F6Represents grant of stock options which vests in four equal installments beginning February 6, 2015.
F7Represents grant of stock options which vests in four equal installments beginning February 13, 2016.