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
- Other
Common Stock ($.01 par value)
2016-02-22$1.99/sh+2,928$5,827→ 756,334 total(indirect: Indirectly held through UANT Ventures, L.P.) - Other
Option to purchaser
2016-02-22+52→ 1,801 total(indirect: Indirectly held through UANT Ventures, L.P.)Exercise: $24.84From: 2012-08-31Exp: 2017-08-31→ Common Stock ($0.01 par) (1,801 underlying)
Holdings
- 23,563
7.25% Convertible Subordinated Note due 2020
Exercise: $10.61From: 2016-04-29→ Common Stock ($0.01 par) (23,563 underlying) - 101,299
Common Stock ($.01 par value)
- 13,248(indirect: Indirectly held through John M. House MD, P.A.)
Common Stock ($.01 par value)
Footnotes (4)
- [F1]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]Dr. House purchased additional partnership interests in UANT Ventures, L.P. ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares and options to purchase shares of the issuer's common stock held by Ventures. The aggregate consideration paid by Dr. House for the Ventures partnership interest was $5,819, all of which is reflected in the per share price set forth in Column 4 of Table I.
- [F3]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.
- [F4]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.