4//SEC Filing
USMD Holdings, Inc. 4
Accession 0000899243-16-010902
CIK 0001507881operating
Filed
Jan 4, 7:00 PM ET
Accepted
Jan 5, 6:06 PM ET
Size
9.4 KB
Accession
0000899243-16-010902
Insider Transaction Report
Form 4
Brock Steven
Director
Transactions
- Other
Common Stock ($.01 par)
2015-12-31$102.44/sh+4$410→ 35,631 total(indirect: Indirectly held through UANT Ventures, L.P.) - Other
Common Stock ($.01 par)
2015-12-31$1.91/sh+109$208→ 35,627 total(indirect: Indirectly held through UANT Ventures, L.P.)
Holdings
- 15,874
Common Stock ($.01 par)
- 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 (3)
- [F1]Dr. Brock purchased additional partnership interests in UANT Ventures, LP ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.
- [F2]Ventures reallocated certain of its partnership interests among its partners based upon the results of a capital call. Dr. Brock received additional partnership interests as a result of this reallocation, which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.
- [F3]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.
Documents
Issuer
USMD Holdings, Inc.
CIK 0001507881
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001507881
Filing Metadata
- Form type
- 4
- Filed
- Jan 4, 7:00 PM ET
- Accepted
- Jan 5, 6:06 PM ET
- Size
- 9.4 KB