0001140361-16-063061.txt : 20160503 0001140361-16-063061.hdr.sgml : 20160503 20160503161815 ACCESSION NUMBER: 0001140361-16-063061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160502 FILED AS OF DATE: 20160503 DATE AS OF CHANGE: 20160503 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: UNIVERSAL AMERICAN CORP. CENTRAL INDEX KEY: 0001514128 STANDARD INDUSTRIAL CLASSIFICATION: HOSPITAL & MEDICAL SERVICE PLANS [6324] IRS NUMBER: 274683816 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 44 SOUTH BROADWAY, 12TH FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10601 BUSINESS PHONE: 914-597-2900 MAIL ADDRESS: STREET 1: 44 SOUTH BROADWAY, 12TH FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10601 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSAL AMERICAN SPIN CORP. DATE OF NAME CHANGE: 20110228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PERRY RICHARD C CENTRAL INDEX KEY: 0000925183 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35149 FILM NUMBER: 161615700 MAIL ADDRESS: STREET 1: C/O PERRY CORP STREET 2: 599 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc1.xml FORM 4 X0306 4 2016-05-02 0 0001514128 UNIVERSAL AMERICAN CORP. UAM 0000925183 PERRY RICHARD C C/O PERRY CORP. 767 FIFTH AVENUE, 19TH FLOOR NEW YORK NY 10153 1 0 0 0 Common Stock, par value $0.01 per share 2016-05-02 4 M 0 11579 0 A 2720119 I By Perry Partners, L.P. Common Stock, par value $0.01 per share 2016-05-02 4 F 0 9551 0 D 2710568 I By Perry Partners, L.P. Common Stock, par value $0.01 per share 2016-05-02 4 M 0 18934 0 A 4433535 I By Perry Partners International, Inc. Common Stock, par value $0.01 per share 2016-05-02 4 F 0 15618 0 D 4417917 I By Perry Partners International, Inc. Common Stock, par value $0.01 per share 2016-05-02 4 M 0 384 0 A 90372 I By Perry Private Opportunities Offshore Fund, L.P. Common Stock, par value $0.01 per share 2016-05-02 4 F 0 317 0 D 90055 I By Perry Private Opportunities Offshore Fund, L.P. Common Stock, par value $0.01 per share 2016-05-02 4 M 0 2103 0 A 494824 I By Perry Private Opportunities Fund, L.P. Common Stock, par value $0.01 per share 2016-05-02 4 F 0 1735 0 D 493089 I By Perry Private Opportunities Fund, L.P. Common Stock, par value $0.01 per share 16400 I By Perry Partners International Master, Inc. Stock Option (Right to Buy) 5.98 2016-05-02 4 M 0 11579 0 D 2016-05-02 Common Stock, par value $0.01 per share 11579 0 I By Perry Partners, L.P. Stock Option (Right to Buy) 5.98 2016-05-02 4 M 0 18934 0 D 2016-05-02 Common Stock, par value $0.01 per share 18934 0 I By Perry Partners International, Inc. Stock Option (Right to Buy) 5.98 2016-05-02 4 M 0 384 0 D 2016-05-02 Common Stock, par value $0.01 per share 384 0 I By Perry Private Opportunities Offshore Fund, L.P. Stock Option (Right to Buy) 5.98 2016-05-02 4 M 0 2103 0 D 2016-05-02 Common Stock, par value $0.01 per share 2103 0 I By Perry Private Opportunities Fund, L.P. The direct or indirect general partner and/or investment manager of Perry Partners, L.P., Perry Partners International, Inc., Perry Partners International Master , Inc., Perry Private Opportunities Offshore Fund, L.P. and Perry Private Opportunities Fund, L.P. (collectively, the "Perry Funds") is Perry Corp., of which Mr. Perry is the President and sole shareholder. Perry Corp. and Mr. Perry may be deemed to have voting and dispositive power with respect to shares held by the Perry Funds. Each of Mr. Perry and Perry Corp. disclaims beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that either Mr. Perry or Perry Corp. is the beneficial owner of the shares for purposes of Section 16 of the Exchange Act or for any other purpose. Reflects the Reporting Person's payment of the exercise price by delivering or withholding shares of the Issuer's common stock to the Issuer in connection with the exercise of a stock option issued in accordance with Rule 16b-3. The transactions contemplated by this filing are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Act"), pursuant to Rules 16b-3(e) and 16b-6(b). The original exercise price of $9.33 was adjusted to account for stock dividends totaling $3.35. The stock options are fully vested and immediately exercisable. /s/ Michael C. Neus, as attorney-in-fact 2016-05-02