USMD Holdings, Inc. 4
4 · USMD Holdings, Inc. · Filed Aug 23, 2016
Insider Transaction Report
Form 4
Dickey Russell A.
Director
Transactions
- Other
Common Stock ($.01 par value)
2016-08-19$4.69/sh+310$1,454→ 39,825 total(indirect: Indirectly held through UANT Ventures, L.P.) - Award
Common Stock ($.01 par value)
2015-12-15$7.65/sh+990$7,574→ 30,223 total
Holdings
- 34,498(indirect: Indirectly held through AOB Surgical Group, Ltd.)
Right to purchaser
Exercise: $23.37From: 2014-09-01→ 5% Convertible Subordinated Notes Due 2019 (34,498 underlying)
Footnotes (3)
- [F1]Represents stock compensation issued pursuant to the 2010 USMD Holdings, Inc. Equity Compensation Plan and granted to Dr. Dickey in lieu of compensation of $7,574 for his services as a physician employed by an affiliate of the issuer.
- [F2]Dr. Dickey purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), 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 unpaid principal balance of the note.