Filing Details

Accession Number:
0001247524-15-000131
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-04-03 17:02:00
Reporting Period:
2015-04-01
Filing Date:
2015-04-03
Accepted Time:
2015-04-03 17:02:00
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
1243415 C Thomas Geiser C/O Surgical Care Affiliates, Inc.,
520 Lake Cook Road, Suite 250
Deerfield IL 60015
Yes No 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 2015-04-01 115,059 $10.25 121,431 No 4 M Direct
Common Stock Disposition 2015-04-01 115,059 $32.00 6,372 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
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 2015-04-01 11,707 $0.00 11,707 $10.25
Common Stock Options to Purchase Common Stock Disposition 2015-04-01 91,645 $0.00 91,645 $10.25
Common Stock Options to Purchase Common Stock Disposition 2015-04-01 11,707 $0.00 11,707 $10.25
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2015-06-24 No 4 M Direct
0 2015-06-24 No 4 M Direct
0 2015-09-09 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 97,560 Indirect See Explanation of Responses
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Options to Purchase Common Stock $10.66 2016-07-23 11,256 11,256 Direct
Common Stock Options to Purchase Common Stock $11.18 2020-07-01 10,740 10,740 Direct
Common Stock Options to Purchase Common Stock $12.10 2021-07-01 9,921 9,921 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-07-23 11,256 11,256 Direct
2020-07-01 10,740 10,740 Direct
2021-07-01 9,921 9,921 Direct
Footnotes
  1. Includes 6,372 shares of Common Stock underlying Restricted Stock Units ("RSUs") of the issuer. All of the RSUs are subject to time-based vesting. As of April 1, 2015, 3,027 of the RSUs were vested, with the remaining RSUs vesting on the following schedule: 1,168 RSUs vesting on June 30, 2015, 1,009 RSUs vesting on July 1, 2015, and 1,168 RSUs vesting on June 30, 2016. Each vested RSU is settled on the earlier of the individual's termination of employment or a change in control.
  2. The price of $32.003125 represents the public offering price of $33.25 per share of Common Stock less the underwriters' discount of $1.246875 per share of Common Stock.
  3. Mr. Geiser is a trustee of The Geiser Schweers Family Trust u/a/d 6/8/98, as amended, which is the sole member of TDK Management Company, LLC, which is the general partner of TDK Properties, L.P., which directly owns 97,560 shares of Common Stock of the issuer.
  4. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2008 and became exercisable on September 16, 2013.
  5. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2010 and became exercisable on September 16, 2013.
  6. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2009 and became exercisable on September 16, 2013.
  7. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2010 and became exercisable on September 16, 2013.
  8. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2011 and became exercisable on September 16, 2013.
  9. The options became vested as to all of the shares of Common Stock underlying such options on June 29, 2012 and became exercisable on September 16, 2013.