Filing Details

Accession Number:
0001590503-17-000035
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-02-24 16:00:41
Reporting Period:
2017-02-23
Filing Date:
2017-02-24
Accepted Time:
2017-02-24 16:00:41
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.
510 Lake Cook Road, Suite 400
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 2017-02-23 6,693 $12.10 41,839 No 4 M Direct
Common Stock Acquisiton 2017-02-23 12,824 $11.48 54,663 No 4 M Direct
Common Stock Disposition 2017-02-23 19,517 $56.73 35,146 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M 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 2017-02-23 6,693 $0.00 6,693 $12.10
Common Stock Options to Purchase Common Stock Disposition 2017-02-23 12,824 $0.00 12,824 $11.48
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2017-06-29 No 4 M Direct
0 2022-03-06 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 $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
Common Stock Options to Purchase Common Stock $38.35 2025-06-04 15,884 15,884 Direct
Common Stock Options to Purchase Common Stock $41.25 2026-03-02 12,067 12,067 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2022-03-06 6,413 6,413 Direct
2023-05-06 24,390 24,390 Direct
2024-09-17 21,106 21,106 Direct
2025-06-04 15,884 15,884 Direct
2026-03-02 12,067 12,067 Direct
Footnotes
  1. Includes 26,070 shares of Common Stock underlying restricted stock units ("RSUs") of the issuer. All of the RSUs vest on the following schedule and are settled on each applicable vesting date: 2,334 RSUs vesting on March 2, 2017, 2,966 RSUs vesting on June 4, 2017, 3,920 RSUs vesting on September 17, 2017, 2,333 RSUs vesting on March 2, 2018, 2,966 RSUs vesting on June 4, 2018, 3,919 RSUs vesting on September 17, 2018, 2,333 RSUs vesting on March 2, 2019, 2,966 RSUs vesting on June 4, 2019 and 2,333 RSUs vesting on March 2, 2020.
  2. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
  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 $56.65 to $56.80. 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. All of the options are performance-based options and, as of September 16, 2013, were fully vested.
  5. All of the options are time-based options which, as of March 6, 2013, were fully vested.
  6. All of the options are time-based options which, as of March 6, 2016, were fully vested.
  7. The option provides for vesting in equal annual installments on May 6, 2014, May 6, 2015, May 6, 2016 and May 6, 2017.
  8. The option provides for vesting in equal annual installments on September 17, 2015, September 17, 2016, September 17, 2017 and September 17, 2018.
  9. The option provides for vesting in equal annual installments on June 4, 2016, June 4, 2017, June 4, 2018 and June 4, 2019.
  10. The option provides for vesting in equal annual installments on March 2, 2017, March 2, 2018, March 2, 2019 and March 2, 2020.