Filing Details

Accession Number:
0001247524-14-000079
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-03 13:27:29
Reporting Period:
2014-09-02
Filing Date:
2014-09-03
Accepted Time:
2014-09-03 13:27:29
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
1588247 A. Michael Rucker C/O Surgical Care Affiliates, Inc.,
520 Lake Cook Road, Suite 250
Deerfield IL 60015
Chief Operating Officer 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 2014-09-02 1,305 $8.72 32,239 No 4 M Direct
Common Stock Acquisiton 2014-09-02 4,195 $9.64 36,434 No 4 M Direct
Common Stock Disposition 2014-09-02 5,500 $29.64 30,934 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M 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 2014-09-02 4,195 $0.00 4,195 $9.64
Common Stock Options to Purchase Common Stock Disposition 2014-09-02 1,305 $0.00 1,305 $8.72
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1 2019-07-23 No 4 M Direct
3,902 2021-02-08 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 2018-09-15 53,500 53,500 Direct
Common Stock Options to Purchase Common Stock $12.10 2019-07-23 37,765 37,765 Direct
Common Stock Options to Purchase Common Stock $11.18 2020-03-24 46,829 46,829 Direct
Common Stock Options to Purchase Common Stock $8.72 2020-03-24 854 5,853 Direct
Common Stock Options to Purchase Common Stock $11.18 2021-02-08 13,659 13,659 Direct
Common Stock Options to Purchase Common Stock $13.94 2022-03-06 23,696 23,696 Direct
Common Stock Options to Purchase Common Stock $11.48 2022-03-06 71,085 71,085 Direct
Common Stock Options to Purchase Common Stock $12.41 2023-05-06 73,170 73,170 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2018-09-15 53,500 53,500 Direct
2019-07-23 37,765 37,765 Direct
2020-03-24 46,829 46,829 Direct
2020-03-24 854 5,853 Direct
2021-02-08 13,659 13,659 Direct
2022-03-06 23,696 23,696 Direct
2022-03-06 71,085 71,085 Direct
2023-05-06 73,170 73,170 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 June 13, 2014, which plan became effective August 19, 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 $29.57 to $29.78. 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. 26,750 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 26,750 options are time based which vested in equal installments on September 15, 2009, September 15, 2010, September 15, 2011, September 15, 2012, and September 15, 2013.
  4. 20,980 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 16,785 options are time based which vested in equal installments on July 23, 2010, July 23, 2011, July 23, 2012, and July 23, 2013.
  5. All of the options are time based which vested on July 23, 2014.
  6. 29,268 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 17,561 options are time based which vested in equal installments on March 24, 2011, March 24, 2012, and March 24, 2013.
  7. All of the options are time based, 854 of which vested on March 24, 2014 (all of which were exercised by the reporting person on August 26, 2014) and 5,853 of which are scheduled to vest on March 24, 2015.
  8. 9,756 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 3,903 options are time based which vested in equal installments on February 8, 2012 and February 8, 2013.
  9. All of the options are time based, 1,305 of which vested on February 8, 2014 (all of which were exercised by the reporting person on September 2, 2014) and 3,902 of which are scheduled to vest in equal installments on February 8, 2015 and February 8, 2016.
  10. All of the options are time based which vested on March 6, 2013.
  11. All of the options are time based which are scheduled to vest in equal installments on March 6, 2014, March 6, 2015, and March 6, 2016.
  12. 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.