0000899243-16-019382.txt : 20160506
0000899243-16-019382.hdr.sgml : 20160506
20160506140926
ACCESSION NUMBER: 0000899243-16-019382
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160504
FILED AS OF DATE: 20160506
DATE AS OF CHANGE: 20160506
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: Brock Steven
CENTRAL INDEX KEY: 0001556888
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35639
FILM NUMBER: 161627259
MAIL ADDRESS:
STREET 1: 1211 GREENBRIAR LANE
CITY: ARLINGTON
STATE: TX
ZIP: 76013
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-05-04
0
0001507881
USMD Holdings, Inc.
USMD
0001556888
Brock Steven
1211 GREENBRIAR LANE
ARLINGTON
TX
76013
1
0
0
0
Common Stock ($.01 par)
17503
D
Common Stock ($.01 par)
2016-05-04
4
J
0
924
2.17
A
38786
I
Indirectly held through UANT Ventures, L.P.
Right to purchase
23.37
2014-09-01
5% Convertible Subordinated Notes Due 2019
5750
5750
I
Indirectly held through AOB Surgical Group, Ltd.
Dr. Brock purchased additional partnership interests in UANT Ventures, LP ("Ventures"), which resulted in an increase in his indirect beneficial ownership of the shares of the issuer's common stock held by Ventures.
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/ Steven Brock
2016-05-06