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