Sec Form 4 Filing - Rucker Michael A. @ Surgical Care Affiliates, Inc. - 2014-08-26

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Rucker Michael A.
2. Issuer Name and Ticker or Trading Symbol
Surgical Care Affiliates, Inc. [ SCAI]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Operating Officer
(Last) (First) (Middle)
C/O SURGICAL CARE AFFILIATES, INC.,, 520 LAKE COOK ROAD, SUITE 250
3. Date of Earliest Transaction (MM/DD/YY)
08/26/2014
(Street)
DEERFIELD, IL60015
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/26/2014 M 1,500 A $ 8.72 32,434 D
Common Stock 08/26/2014 S( 1 ) 500 D $ 29 31,934 D
Common Stock 08/26/2014 S( 1 ) 1,000 D $ 30 30,934 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Options to Purchase Common Stock $ 12.1 ( 2 ) 09/15/2018 Common Stock 53,500 53,500 D
Options to Purchase Common Stock $ 12.1 ( 3 ) 07/23/2019 Common Stock 37,765 37,765 D
Options to Purchase Common Stock $ 9.64 ( 4 ) 07/23/2019 Common Stock 4,196 4,196 D
Options to Purchase Common Stock $ 11.18 ( 5 ) 03/24/2020 Common Stock 46,829 46,829 D
Options to Purchase Common Stock $ 8.72 08/26/2014 M 854 ( 6 ) 03/24/2020 Common Stock 854 $ 0 5,853 D
Options to Purchase Common Stock $ 11.18 ( 7 ) 02/08/2021 Common Stock 13,659 13,659 D
Options to Purchase Common Stock $ 8.72 08/26/2014 M 646 ( 8 ) 02/08/2021 Common Stock 646 $ 0 5,207 D
Options to Purchase Common Stock $ 13.94 ( 9 ) 03/06/2022 Common Stock 23,696 23,696 D
Options to Purchase Common Stock $ 11.48 ( 10 ) 03/06/2022 Common Stock 71,085 71,085 D
Options to Purchase Common Stock $ 12.41 ( 11 ) 05/06/2023 Common Stock 73,170 73,170 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Rucker Michael A.
C/O SURGICAL CARE AFFILIATES, INC.,
520 LAKE COOK ROAD, SUITE 250
DEERFIELD, IL60015
Chief Operating Officer
Signatures
/s/ Richard L. Sharff, Jr., by power of attorney 08/27/2014
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 13, 2014, which plan became effective August 19, 2014.
( 2 )26,750 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 26,750 options are time based which vested in equal installments on September 15 , 2009, September 15, 2010, September 15, 2011, September 15, 2012, and September 15, 2013.
( 3 )20,980 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 16,785 options are time based which vested in equal installments on July 23, 2010, July 23, 2011, July 23, 2012, and July 23, 2013.
( 4 )All of the options are time based which vested on July 23, 2014.
( 5 )29,268 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 17,561 options are time based which vested in equal installments on March 24, 2011, March 24, 2012, and March 24, 2013.
( 6 )All of the options are time based, 854 of which vested on March 24, 2014 (all of which were exercised by the reporting person on August 26, 2014) and 5,853 of which are scheduled to vest on March 24, 2015.
( 7 )9,756 of the options are performance based and, as of September 16, 2013, became fully vested. The remaining 3,903 options are time based which vested in equal installments on February 8, 2012 and February 8, 2013.
( 8 )All of the options are time based, 1,951 of which vested on February 8, 2014 (646 of which were exercised by the reporting person on August 26, 2014) and 3,902 of which are scheduled to vest in equal installments on February 8, 2015 and February 8, 2016.
( 9 )All of the options are time based which vested on March 6, 2013.
( 10 )All of the options are time based which are scheduled to vest in equal installments on March 6, 2014, March 6, 2015, and March 6, 2016.
( 11 )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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