Filing Details

Accession Number:
0001247524-14-000075
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-08-27 21:04:18
Reporting Period:
2014-08-26
Filing Date:
2014-08-27
Accepted Time:
2014-08-27 21:04:18
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1411574 Surgical Care Affiliates Inc. SCAI Services-Specialty Outpatient Facilities, Nec (8093) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1588091 Jr. L. Richard Sharff C/O Surgical Care Affiliates, Inc.,
520 Lake Cook Road, Suite 250
Deerfield IL 60015
General Counsel No 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 Acquisiton 2014-08-26 889 $11.48 18,082 No 4 M Direct
Common Stock Disposition 2014-08-26 889 $30.07 17,193 No 4 S Direct
Common Stock Disposition 2014-08-26 400 $30.05 16,793 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Options to Purchase Common Stock Disposition 2014-08-26 889 $0.00 889 $11.48
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
18,347 2022-03-06 No 4 M Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options to Purchase Common Stock $12.10 2017-06-29 96,301 96,301 Direct
Common Stock Options to Purchase Common Stock $13.94 2022-03-06 6,413 6,413 Direct
Common Stock Options to Purchase Common Stock $12.41 2023-05-06 24,390 24,390 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-06-29 96,301 96,301 Direct
2022-03-06 6,413 6,413 Direct
2023-05-06 24,390 24,390 Direct
Footnotes
  1. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 21, 2014, which plan became effective August 18, 2014.
  2. This price represents the weighted average sale price (rounded to the nearest cent) for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $30.00 to $30.20. Upon request by the Commission staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares sold at each separate price.
  3. This price represents the weighted average sale price (rounded to the nearest cent) for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $30.00 to $30.07. Upon request by the Commission staff, the issuer or a security holder of the issuer, the reporting person will undertake to provide full information regarding the number of shares sold at each separate price.
  4. 48,150 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 48,151 options are time based which vested in equal installments on June 29, 2008, June 29, 2009, June 29, 2010, June 29, 2011 and June 29, 2012.
  5. All of the options are time based which vested on March 6, 2013.
  6. All of the options are time based, 6,412 of which vested on March 6, 2014 (889 of which were exercised by the reporting person on August 26, 2014) and 12,824 of which are scheduled to vest in equal installments on March 6, 2015 and March 6, 2016.
  7. All of the options are time based which are scheduled to vest in equal installments on May 6, 2014, May 6, 2015, May 6, 2016, and May 6, 2017.