Universal American Financial Corp - Report of proposed sale of securities (144)
22 11월 2007 - 12:37AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
144
NOTICE
OF PROPOSED SALE OF SECURITIES
PURSUANT
TO RULE 144 UNDER THE SECURITIES ACT OF 1933
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OMB APPROVAL
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OMB Number: 3235-0101
Expires: December 31, 2009
Estimated average burden hours per
response . . . . . . . . . 2.00
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SEC USE ONLY
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DOCUMENT SEQUENCE NO.
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CUSIP NUMBER
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ATTENTION:
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Transmit for filing 3 copies of this form
concurrently with either placing an order with a broker to execute sale or
executing a sale directly with a market maker.
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1
(a)
NAME
OF ISSUER
(Please type or print)
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(b)
IRS IDENT. NO.
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(c)
S.E.C. FILE NO.
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WORK LOCATION
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Universal American Financial Corp.
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11-2580126
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0-11321
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1
(d)
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ADDRESS OF ISSUER
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STREET
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CITY
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STATE
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ZIP CODE
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(e)
TELEPHONE NO.
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Six International Drive
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Rye Brook
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NY
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10573
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AREA
CODE
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NUMBER
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914
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934-5200
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2
(a)
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NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE
TO BE SOLD
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(b)
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IRS IDENT. NO.
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(c)
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RELATIONSHIP TO ISSUER
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(d)
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ADDRESS STREET
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CITY
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STATE
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ZIP CODE
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Robert F. Wright Associates,
Inc.
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13-3468051
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Corporation wholly owned by director of
Issuer
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57 W. 57th St.
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New York
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NY
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10019
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INSTRUCTION: The
person filing this notice should contact the issuer to obtain the I.R.S.
Identification Number and the S.E.C. File Number.
3
(a)
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Title of
the Class of Securities To Be Sold
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(b)
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Name and
Address of Each Broker Through Whom the Securities are to be Offered or Each
Market Maker who is Acquiring the Securities
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SEC USE
ONLY
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(c)
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Number
of Shares
or Other Units
To Be Sold
(See
instr. 3(c))
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(d)
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Aggregate
Market
Value
(See
instr. 3(d))
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(e)
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Number
of Shares
or Other Units
Outstanding
(See
instr. 3(e))
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(f)
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Approximate
Date of Sale
(See
instr. 3(f))
(MO.
DAY YR.)
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(g)
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Name of
Each Securities Exchange
(See
instr. 3(g))
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Broker-Dealer
File Number
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Common Stock
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Bear Starns Securities Corp.
383 Madison Avenue
New York, NY 10179
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20,000
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$484,000
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74,390,437
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11/19/07
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Nasdaq
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INSTRUCTIONS:
1.
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(a)
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Name of issuer
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3.
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(a)
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Title of the class of securities to be sold
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(b)
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Issuers I.R.S. Identification Number
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(b)
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Name and address of each broker through whom the
securities are intended to be sold
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(c)
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Issuers S.E.C. file number, if any
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(c)
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Number of shares or other units to be sold (if debt
securities, give the aggregate face amount)
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(d)
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Issuers address, including zip code
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(d)
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Aggregate market value of the securities to be sold
as of a specified date within 10 days prior to the filing of this notice
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(e)
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Issuers telephone number, including area code
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(e)
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Number of shares or other units of the class
outstanding, or if debt securities the face amount thereof outstanding, as
shown by the most recent report or statement published by the issuer
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(f)
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Approximate date on which the securities are to be
sold
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2.
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(a)
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Name of person for whose account the securities are
to be sold
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(g)
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Name of each securities exchange, if any, on which
the securities are intended to be sold
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(b)
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Such persons I.R.S. identification number, if such
person is an entity
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(c)
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Such persons relationship to the issuer (e.g.,
officer, director, 10% stockholder, or member of immediate family of any of
the foregoing)
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(d)
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Such persons address, including zip code
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Potential persons who are to
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 1147 (01-07)
TABLE I
SECURITIES TO BE SOLD
Furnish
the following information with respect to the acquisition of the securities to
be sold and with respect to the payment of all or any part of the purchase
price or other consideration therefor:
Title of
the Class
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Date you
Acquired
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Nature
of Acquisition Transaction
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Name of
Person from Whom Acquired
(If gift, also give date donor acquired)
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Amount of
Securities Acquired
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Date of
Payment
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Nature
of Payment
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Common Stock
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1991-1999
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1. Payment for services
rendered by holder to Issuer
2. Conversion of
preferred stock purchased from Issuer
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Issuer
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1. 127,575
2. 25,377
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1991-1999
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1. Services rendered by holder
to Issuer
2. Preferred stock
purchased with cash
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INSTRUCTIONS:
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If the securities were purchased and full payment
therefor was not made in cash at the time of purchase, explain in the table
or in a note thereto the nature of the consideration given. If the
consideration consisted of any note or other obligation, or if payment was
made in installments describe the arrangement and state when the note or
other obligation was discharged in full or the last installment paid.
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TABLE II
SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish
the following information as to all securities of the issuer sold during the
past 3 months by the person for whose account the securities are to be sold.
Name and
Address of Seller
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Title of
Securities Sold
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Date of
Sale
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Amount
of Securities Sold
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Gross
Proceeds
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None.
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REMARKS:
INSTRUCTIONS:
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ATTENTION:
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See the definition of person in paragraph (a) of
Rule 144. Information is to be given not only as to the person for whose
account the securities are to be sold but also as to all other persons
included in that definition. In addition, information shall be given as to
sales by all persons whose sales are required by paragraph (e) of Rule 144 to
be aggregated with sales for the account of the person filing this notice.
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The person for whose account the securities to
which this notice relates are to be sold hereby represents by signing this
notice that he does not know any material adverse information in regard to
the current and prospective operations of the Issuer of the securities to be
sold which has not been publicly disclosed.
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November 20, 2007
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/s/ Robert F. Wright
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DATE OF NOTICE
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(SIGNATURE)
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The
notice shall be signed by the person for whose account the securities are to be
sold. At least one copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute
Federal Criminal Violations (See 18 U.S.C. 1001)
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SEC 1147 (01-04)
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