Form Type: 4

SEC EDGAR Link
Accession Number:0001247524-14-000077
Date:2014-08-27
Issuer: SURGICAL CARE AFFILIATES, INC. (SCAI)
Original Submission Date:

Reporting Person:

SHARFF RICHARD L. JR.
C/O SURGICAL CARE AFFILIATES, INC.,
520 LAKE COOK ROAD, SUITE 250 DEERFIELD, IL 60015

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2014-08-27 M 479 a $11.48 17,272 direct
COMMON STOCK 2014-08-27 S 479 d $30.10 16,793 direct
COMMON STOCK 2014-08-27 S 200 d $30.10 16,593 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
OPTIONS TO PURCHASE COMMON STOCK 11.48 2014-08-27 deemed execution date M 479 (d) 2022-03-06 common stock 479 $11.48 17,868 direct
OPTIONS TO PURCHASE COMMON STOCK 12.1 2014-08-27 deemed execution date 0 ( ) 2017-06-29 common stock 96,301 $12.10 96,301 direct
OPTIONS TO PURCHASE COMMON STOCK 13.94 2014-08-27 deemed execution date 0 ( ) 2022-03-06 common stock 6,413 $13.94 6,413 direct
OPTIONS TO PURCHASE COMMON STOCK 12.41 2014-08-27 deemed execution date 0 ( ) 2023-05-06 common stock 24,390 $12.41 24,390 direct
Footnotes
IDfootnote
f1 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.
f2 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 $30.00 to $30.21. 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.
f3 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 $30.04 to $30.16. 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.
f4 48,150 of the options are performance based and, as of september 16, 2013, became fully vested. the remaining 48,151 options are time based which vested in equal installments on june 29, 2008, june 29, 2009, june 29, 2010, june 29, 2011 and june 29, 2012.
f5 all of the options are time based which vested on march 6, 2013.
f6 all of the options are time based, 5,523 of which vested on march 6, 2014 (479 of which were exercised by the reporting person on august 27, 2014) and 12,824 of which are scheduled to vest in equal installments on march 6, 2015 and march 6, 2016.
f7 all of the options are time based which are scheduled to vest in equal installments on may 6, 2014, may 6, 2015, may 6, 2016, and may 6, 2017.
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