Filing Details
- Accession Number:
- 0001247524-15-000282
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-03 16:45:31
- Reporting Period:
- 2015-11-02
- Filing Date:
- 2015-11-03
- Accepted Time:
- 2015-11-03 16:45:31
- 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 |
|---|---|---|---|---|---|---|---|
| 1248908 | P Andrew Hayek | C/O Surgical Care Affiliates, Inc., 520 Lake Cook Road, Suite 250 Deerfield IL 60015 | Chief Executive Officer | Yes | 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 | 2015-11-02 | 3,367 | $10.25 | 297,730 | No | 4 | M | Indirect | See Explanation of Responses |
| Common Stock | Disposition | 2015-11-02 | 3,367 | $32.00 | 294,363 | No | 4 | S | Indirect | See Explanation of Responses |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Indirect | See Explanation of Responses |
| No | 4 | S | Indirect | See Explanation of Responses |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | Disposition | 2015-11-02 | 3,367 | $0.00 | 3,367 | $10.25 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 233,736 | 2018-04-21 | No | 4 | M | Indirect |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Options to Purchase Common Stock | $11.18 | 2020-03-24 | 175,610 | 175,610 | Indirect | |
| Common Stock | Options to Purchase Common Stock | $8.72 | 2020-03-24 | 43,902 | 43,902 | Indirect | |
| Common Stock | Options to Purchase Common Stock | $12.41 | 2023-05-06 | 182,926 | 182,926 | Indirect | |
| Common Stock | Options to Purchase Common Stock | $29.02 | 2024-09-17 | 135,682 | 135,682 | Indirect | |
| Common Stock | Options to Purchase Common Stock | $38.35 | 2025-06-04 | 102,113 | 102,113 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2020-03-24 | 175,610 | 175,610 | Indirect |
| 2020-03-24 | 43,902 | 43,902 | Indirect |
| 2023-05-06 | 182,926 | 182,926 | Indirect |
| 2024-09-17 | 135,682 | 135,682 | Indirect |
| 2025-06-04 | 102,113 | 102,113 | Indirect |
Footnotes
- Includes 220,157 Restricted Stock Units ("RSUs"), all of which are subject to time-based vesting. 76,271 of these RSUs were previously held directly by the reporting person and transferred to the Andrew Hayek 2008 Living Trust on October 5, 2015. As of November 2, 2015, 68,292 of the RSUs were vested and are settled on the earlier of the individual's termination of employment or a change in control and the remaining 151,865 RSUs vest in equal annual installments over a period of four years from their respective grant dates and are settled on each applicable vesting date.
- Mr. Hayek is the sole trustee of the Andrew Hayek 2008 Living Trust, which directly owns all of the securities reported on this line.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 30, 2015.
- 180,487 of the options are performance-based options and, as of September 16, 2013, became fully vested. The remaining 53,249 options are time-based options and, as of July 24, 2013, became fully vested.
- 109,756 of the options are performance-based options and, as of September 16, 2013, became fully vested. The remaining 65,854 options are time-based options which, as of March 24, 2013, were fully vested.
- All of the options are time-based options which, as of March 24, 2015, were fully vested.
- 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.
- All of the options are time-based options which are scheduled to vest in equal installments on June 4, 2016, June 4, 2017, June 4, 2018 and June 4, 2019.
- The options were previously held directly by the reporting person and transferred to the Andrew Hayek 2008 Living Trust on October 5, 2015.
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