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
- 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.
- 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.
- 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.
- 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.
- All of the options are time based which vested on March 6, 2013.
- 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.
- 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.