SEC Form 4 · accession 0001593968-16-001361

UNIVERSAL AMERICAN CORP. · UAM

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

Reporting owner

Officer — Chief Financial Officer

Period of report

Dec 28, 2016

Accepted (ET)

Dec 29, 2016 · 4:33 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
Common Stock^F1	Dec 28, 2016	M	32,500	$7.87	A	191,024	D
Common Stock^F2,F1	Dec 28, 2016	F	28,121	$10.01	D	162,903	D
Common Stock^F1	Dec 28, 2016	M	20,718	$6.18	A	183,621	D
Common Stock^F2,F1	Dec 28, 2016	F	15,722	$10.01	D	167,899	D
Common Stock^F1	Dec 28, 2016	M	13,270	$6.05	A	181,169	D
Common Stock^F2,F1	Dec 28, 2016	F	9,962	$10.01	D	171,207	D
Common Stock^F1	Dec 28, 2016	M	1,306	$8.41	A	172,513	D
Common Stock^F2,F1	Dec 28, 2016	F	1,175	$10.01	D	171,338	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Stock Option (Right to Buy)^F3	$7.87	Dec 28, 2016	M	32,500	D	—	Feb 9, 2017	Common Stock	32,500	0	D
Stock Option (Right to Buy)^F4	$6.18	Dec 28, 2016	M	20,718	D	—	Mar 4, 2018	Common Stock	20,718	6,907	D
Stock Option (Right to Buy)^F5	$6.05	Dec 28, 2016	M	13,270	D	—	Feb 6, 2019	Common Stock	13,270	13,270	D
Stock Option (Right to Buy)^F6	$8.41	Dec 28, 2016	M	1,306	D	—	Feb 13, 2020	Common Stock	1,306	3,918	D

F1Represents common stock including 115,177 shares of unvested restricted stock.
F2Shares surrendered to issuer in payment of exercise price and tax liability in connection with stock option exercise.
F3Represents grant of stock options which vests in four equal installments beginning February 9, 2013.
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 February 6, 2015.
F6Represents grant of stock options which vests in four equal installments beginning February 13, 2016.