Filing Details
- Accession Number:
- 0001179110-10-006739
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-04-08 13:00:00
- Reporting Period:
- 2010-04-01
- Filing Date:
- 2010-04-08
- Accepted Time:
- 2010-04-08 15:29:49
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 709878 | Universal American Corp. | UAM | Hospital & Medical Service Plans (6324) | 112580136 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1076341 | A Richard Barasch | C/O Universal American Corp. 6 International Drive Rye Brook NY 10573 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2010-04-01 | 23,752 | $15.52 | 1,528,991 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2010-04-01 | 37,500 | $4.09 | 1,552,743 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2010-04-01 | 37,500 | $4.09 | 37,500 | $4.09 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2007-04-01 | 2010-04-01 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 28,180 | Indirect | Son (Benjamin) |
| Common Stock | 424,077 | Indirect | Wife |
| Common Stock | 23,080 | Indirect | Daughter (Natalie) |
| Common Stock | 30,124 | Indirect | Daughter (Emily) |
| Common Stock | 24,376 | Indirect | Tara Acquisition LLC |
| Common Stock | 67,744 | Indirect | Norman Barasch Trust #1 |
| Common Stock | 137,849 | Indirect | Barasch Family Trust #1 |
| Common Stock | 23,586 | Indirect | By 401(k) Plan |
Footnotes
- Options exercised through a "net exercise" procedure under which only the "spread" shares, which are the number of shares exercised in excess of a number of shares that have a value equal to the sum of the exercise price and the withholding tax paid in respect of the exercise, were issued to the reporting person. This could be deemed to constitute a sale by the reporting person of shares having such value to the issuer, although no actual sale occurred.
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