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
- 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.
- 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.
- 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.
- 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.
- All of the options are time based which vested on July 23, 2014.
- 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.
- 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.
- 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.
- 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.
- All of the options are time based which vested on March 6, 2013.
- 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.
- 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.
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