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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 12.125 | 05/26/2004 | 05/25/2010 | Class A Common Stock, $.01 par value | 250,000 (3) | 250,000 (3) | D | ||||||||
Stock Option (Right to Buy) | $ 16.6 | 05/15/2005 | 05/14/2011 | Class A Common Stock, $.01 par value | 750,000 (3) | 750,000 (3) | D | ||||||||
Stock Option (Right to Buy) | $ 19.95 | (4) | 05/20/2012 | Class A Common Stock, $.01 par value | 100,000 (4) | 100,000 (4) | D | ||||||||
Stock Option (Right to Buy) | $ 18.56 | (5) | 05/19/2013 | Class A Common Stock, $.01 par value | 100,000 (5) | 100,000 (5) | D | ||||||||
Stock Option (Right to Buy) | $ 22.77 | (6) | 05/17/2014 | Class A Common Stock, $.01 par value | 150,000 (6) | 150,000 (6) | D | ||||||||
Contingent Stock Award | $ 0 | 12/04/2006 | 12/04/2006 | Class A Common Stock, $.01 par value | 39,788 (7) | 39,788 (7) | D | ||||||||
Contingent Stock Award | $ 0 | 12/03/2007 | 12/03/2007 | Class A Common Stock, $.01 par value | 30,905 (7) | 30,905 (7) | D | ||||||||
Contingent Stock Award | $ 0 | 12/08/2008 | 12/08/2008 | Class A Common Stock, $.01 par value | 36,749 (7) | 36,749 (7) | D | ||||||||
Contingent Stock Award | $ 0 | 12/07/2009 | 12/07/2009 | Class A Common Stock, $.01 par value | 18,907 (7) | 18,907 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VUMBACCO JOSEPH V HEALTH MANAGEMENT ASSOCIATES, INC. 5811 PELICAN BAY BOULEVARD, SUITE 500 NAPLES, FL 34108 |
X | CEO and Vice Chairman |
/s/ Joseph V. Vumbacco | 01/30/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This restricted stock award was granted under the Issuer's 1996 Executive Incentive Compensation Plan in a transaction exempt under Rule 16b-3 and is subject to forfeiture if certain vesting conditions are not met. |
(2) | Certain of these shares are held by First Union National Bank of Florida for the account of Mr. Vumbacco. The account is a self-directed IRA in which Mr. Vumbacco has the sole power to dispose of the shares. |
(3) | This employee stock option was previously reported by Mr. Vumbacco. |
(4) | This employee stock option was previously reported by Mr. Vumbacco. Mr. Vumbacco can exercise this option as follows: 25,000 shares on 5/21/03, 25,000 shares on 5/21/04, 25,000 shares on 5/21/05, and 25,000 shares on 5/21/06. |
(5) | This employee stock option was previously reported by Mr. Vumbacco. Mr. Vumbacco can exercise this option as follows: 25,000 shares on 5/20/04, 25,000 shares on 5/20/05, 25,000 shares on 5/20/06, and 25,000 shares on 5/20/07. |
(6) | This employee stock option was previously reported by Mr. Vumbacco. Mr. Vumbacco can exercise this option as follows: 37,500 shares on 5/18/05, 37,500 shares on 5/18/06, 37,500 shares on 5/18/07, and 37,500 shares on 5/18/08. |
(7) | This contingent stock incentive award under the Issuer's 1996 Executive Incentive Compensation Plan was previously reported by Mr. Vumbacco. |