USMD Holdings, Inc. 4/A
4/A · USMD Holdings, Inc. · Filed Aug 30, 2016
Insider Transaction Report
Form 4/AAmended
House John M.
DirectorChief Executive Officer
Transactions
- Award
Common Stock ($.01 par value)
2015-12-31$7.98/sh+2,882$22,998→ 101,299 total
Holdings
- 753,406(indirect: Indirectly held through UANT Ventures, L.P.)
Common Stock ($.01 par value)
- 13,248(indirect: Indirectly held through John M. House MD, P.A.)
Common Stock ($.01 par value)
- 1,749(indirect: Indirectly held through UANT Ventures, L.P.)
Option to purchaser
Exercise: $24.84From: 2012-08-31Exp: 2017-08-31→ Common Stock ($0.01 par) (1,749 underlying) - 23,563
7.25% Convertible Subordinated Note due 2020
Exercise: $10.61From: 2016-04-29→ Common Stock ($0.01 par) (23,563 underlying)
Footnotes (3)
- [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 October 2015 through December 2015. The number of shares held by the reporting person (Table I, Column 5) was erroneously reported in the original Form 4 as 100,299 shares, rather than the correct 101,299 shares.
- [F2]The noteholder has the right at any time after April 29, 2016 but prior to the payment in full of the note by the issuer, 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 November 1, 2020, the maturity date of the note, or upon the earlier payment in full of the unpaid principal balance of the note.
- [F3]The reporting person's holdings of the 7.25% Convertible Subordinated Note Due 2020 was erroneously left off the original Form 4 that was filed.