Filing Details

Accession Number:
0001247524-14-000162
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-12-19 14:10:31
Reporting Period:
2014-12-17
Filing Date:
2014-12-19
Accepted Time:
2014-12-19 14:10:31
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 2014-12-17 417 $12.10 27,559 No 4 M Direct
Common Stock Disposition 2014-12-17 417 $32.61 27,142 No 4 S Direct
Common Stock Acquisiton 2014-12-18 416 $12.10 27,558 No 4 M Direct
Common Stock Disposition 2014-12-18 416 $32.62 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 2014-12-17 417 $0.00 417 $12.10
Common Stock Options to Purchase Common Stock Disposition 2014-12-18 416 $0.00 416 $12.10
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
64,721 2017-06-29 No 4 M Direct
64,305 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
  1. 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.
  2. 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.
  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 $32.50 to $32.75. 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. 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 $32.52 to $32.89. 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.
  5. 48,150 of the options are performance-based options and, as of September 16, 2013, became fully vested. The remaining 16,571 options are time-based options which, as of June 29, 2012, were fully vested.
  6. 48,150 of the options are performance-based options and, as of September 16, 2013, became fully vested. The remaining 16,155 options are time-based options which, as of June 29, 2012, were fully vested.
  7. All of the options are time-based options which, as of March 6, 2013, were fully vested.
  8. All of the options are time-based options which are scheduled to vest in equal installments on March 6, 2015 and March 6, 2016.
  9. 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.
  10. 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.