0000899243-15-006475.txt : 20151008 0000899243-15-006475.hdr.sgml : 20151008 20151008175347 ACCESSION NUMBER: 0000899243-15-006475 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150131 FILED AS OF DATE: 20151008 DATE AS OF CHANGE: 20151008 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: USMD Holdings, Inc. CENTRAL INDEX KEY: 0001507881 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-GENERAL MEDICAL & SURGICAL HOSPITALS, NEC [8062] IRS NUMBER: 272866866 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6333 NORTH STATE HIGHWAY 161 STREET 2: SUITE 200 CITY: IRVING STATE: TX ZIP: 75038 BUSINESS PHONE: 214-493-4000 MAIL ADDRESS: STREET 1: 6333 NORTH STATE HIGHWAY 161 STREET 2: SUITE 200 CITY: IRVING STATE: TX ZIP: 75038 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dickey Russell A. CENTRAL INDEX KEY: 0001556868 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35639 FILM NUMBER: 151151591 MAIL ADDRESS: STREET 1: 405 BAYOU VISTA CITY: SOUTHLAKE STATE: TX ZIP: 76092 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-01-31 0 0001507881 USMD Holdings, Inc. USMD 0001556868 Dickey Russell A. 405 BAYOU VISTA SOUTHLAKE TX 76092 1 0 0 0 Common Stock ($.01 par) 2015-01-31 4 A 0 288 15.04 A 18169 D Common Stock ($.01 par) 2015-02-28 4 A 0 303 13.74 A 18472 D Common Stock ($.01 par) 2015-03-31 4 A 0 355 10.44 A 18827 D Common Stock ($.01 par) 2015-06-30 4 A 0 1486 8.48 A 20313 D Common Stock ($.01 par) 2015-09-30 4 A 0 1673 7.20 A 21986 D Common Stock ($.01 par) 2015-10-06 4 A 0 5618 9.06 A 27604 D Common Stock ($.01 par) 2015-10-07 4 A 0 37 1.00 A 33879 I Indirectly held through UANT Ventures, L.P. Right to purchase 23.37 2014-09-01 5% Convertible Subordinated Notes Due 2019 34498 34498 I Indiectly held through AOB Surgical Group, Ltd. 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 January 2015 through September 2015. Represents stock compensation granted to reporting person under the 2010 USMD Holdings, Inc. Equity Compensation Plan for his services as a physician employed by an affiliate of the issuer. Dr. Dickey purchased additional partnership interests in UANT Ventures, L.P., which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by UANT Ventures, L.P. 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. /s/ Russell A. Dickey 2015-10-08