Filing Details
- Accession Number:
- 0001247524-15-000288
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-11-12 14:14:54
- Reporting Period:
- 2015-11-10
- Filing Date:
- 2015-11-12
- Accepted Time:
- 2015-11-12 14:14:54
- 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 | 2015-11-10 | 3,367 | $10.25 | 297,730 | No | 4 | M | Indirect | See Explanation of Responses |
| Common Stock | Disposition | 2015-11-10 | 3,367 | $36.00 | 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 | 2015-11-10 | 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 |
|---|---|---|---|---|---|---|
| 227,002 | 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 194,959 Restricted Stock Units ("RSUs"), all of which are subject to time-based vesting. As of November 10, 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 126,667 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 46,515 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.
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