USMD Holdings, Inc. 4
4 · USMD Holdings, Inc. · Filed Aug 11, 2015
Insider Transaction Report
Form 4
Brock Steven
Director
Transactions
- Other
Common Stock ($.01 par)
2015-08-10$2.28/sh+657$1,498→ 35,480 total(indirect: Indirectly held through UANT Ventures, L.P.)
Holdings
- 5,750(indirect: Indirectly held through AOB Surgical Group, Ltd.)
Right to purchase
Exercise: $23.37From: 2014-09-01→ 5% Convertible Subordinated Notes Due 2019 (5,750 underlying) - 7,161
Common Stock ($.01 par)
Footnotes (2)
- [F1]Dr. Brock purchased additional partnership interests in UANT Ventures, L.P., which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by UANT Ventures, L.P.
- [F2]The noteholder has the right at any time prior to the payment in full of the note, to convert all or any portion of the unpaid principal balance of the note into shares of the issuer's common stock. This conversion right expires on March 1, 2019, the maturity date of the note, or upon the earlier payment in full of the principal balance of the note.