USMD Holdings, Inc. 4
4 · USMD Holdings, Inc. · Filed Oct 8, 2015
Insider Transaction Report
Form 4
Brock Steven
Director
Transactions
- Award
Common Stock ($.01 par)
2015-03-31$10.44/sh+355$3,706→ 8,107 total - Award
Common Stock ($.01 par)
2015-10-06$9.06/sh+4,608$41,748→ 15,874 total - Other
Common Stock ($.01 par)
2015-10-07$1.00/sh+38$38→ 35,518 total(indirect: Indirectly held through UANT Ventures, L.P.) - Award
Common Stock ($.01 par)
2015-02-28$13.74/sh+303$4,163→ 7,752 total - Award
Common Stock ($.01 par)
2015-06-30$8.48/sh+1,486$12,601→ 9,593 total - Award
Common Stock ($.01 par)
2015-09-30$7.20/sh+1,673$12,046→ 11,266 total - Award
Common Stock ($.01 par)
2015-01-31$15.04/sh+288$4,332→ 7,449 total
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)
Footnotes (4)
- [F1]Represents stock compensation granted to reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a director for the period from January 2015 through September 2015.
- [F2]Represents stock compensation granted to reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a physician employed by an affiliate of the issuer.
- [F3]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.
- [F4]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.