USMD Holdings, Inc. 4
4 · USMD Holdings, Inc. · Filed May 6, 2016
Insider Transaction Report
Form 4
Brock Steven
Director
Transactions
- Other
Common Stock ($.01 par)
2016-05-04$2.17/sh+924$2,005→ 38,786 total(indirect: Indirectly held through UANT Ventures, L.P.)
Holdings
- 17,503
Common Stock ($.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 (2)
- [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]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.