Filing Details
- Accession Number:
- 0001247524-14-000131
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-11-17 13:58:28
- Reporting Period:
- 2014-11-13
- Filing Date:
- 2014-11-17
- Accepted Time:
- 2014-11-17 13:58:28
- 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 | 2014-11-13 | 11,253 | $12.10 | 41,260 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-13 | 14,118 | $32.77 | 27,142 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-11-14 | 499 | $12.10 | 27,641 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-11-14 | 499 | $32.52 | 27,142 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | 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 | 2014-11-13 | 11,253 | $0.00 | 11,253 | $12.10 |
| Common Stock | Options to Purchase Common Stock | Disposition | 2014-11-14 | 499 | $0.00 | 499 | $12.10 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 72,256 | 2017-06-29 | No | 4 | M | Direct | |
| 71,757 | 2017-06-29 | 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 | $13.94 | 2022-03-06 | 6,413 | 6,413 | Direct | |
| Common Stock | Options to Purchase Common Stock | $11.48 | 2022-03-06 | 12,824 | 12,824 | Direct | |
| Common Stock | Options to Purchase Common Stock | $12.41 | 2023-05-06 | 24,390 | 24,390 | Direct | |
| Common Stock | Options to Purchase Common Stock | $29.02 | 2024-09-17 | 21,106 | 21,106 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-03-06 | 6,413 | 6,413 | Direct |
| 2022-03-06 | 12,824 | 12,824 | Direct |
| 2023-05-06 | 24,390 | 24,390 | Direct |
| 2024-09-17 | 21,106 | 21,106 | Direct |
Footnotes
- Includes 15,679 shares of Common Stock underlying Restricted Stock Units of the issuer. The Restricted Stock Units are subject to time-based vesting in equal annual installments over a period of four years from September 17, 2014 and are settled on each applicable vesting date.
- 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 $32.50 to $33.11. 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 $32.50 to $32.55. 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 options and, as of September 16, 2013, became fully vested. The remaining 24,106 options are time-based options which, as of June 29, 2012, were fully vested.
- 48,150 of the options are performance-based options and, as of September 16, 2013, became fully vested. The remaining 23,607 options are time-based options which, as of June 29, 2012, were fully vested.
- All of the options are time-based options which, as of March 6, 2013, were fully vested.
- All of the options are time-based options which are scheduled to vest in equal installments on March 6, 2015 and March 6, 2016.
- All of the options are time-based options which are scheduled to vest in equal installments on May 6, 2014, May 6, 2015, May 6, 2016 and May 6, 2017.
- All of the options are time-based options which are scheduled to vest in equal installments on September 17, 2015, September 17, 2016, September 17, 2017 and September 17, 2018.
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