SEC Form 4 · accession 0000899243-16-024631
LDR HOLDING CORP · LDRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick Richard
Officer — EVP, LDR Medical
Period of report
Jun 29, 2016
Accepted (ET)
Jul 6, 2016 · 5:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001348324
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 29, 2016 | J | 0 | $37.00 | D | 93,000 | I | By Richard's Investments |
| Common StockF1,F2 | Jun 29, 2016 | J | 0 | $37.00 | A | 0 | I | By Richard's Investments |
| Common StockF1,F2 | Jun 29, 2016 | J | 0 | $37.00 | A | 0 | I | By Richard's Investments |
| Common Stock | holding | — | — | — | 435,463 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares are owned by Richard's Investments, a French societe civile. On June 29, 2016, the reporting person contributed 93,000 shares that he held directly to Richard's Investments, a newly formed entity, in exchange for 3,107,025 shares of Richard's Investments (such number equal to the value, in Euros, of the contributed shares based on a $37.00 per share valuation) in an exempt transaction under Rule 16a-13. The reporting person retains full investment and voting power over the shares held by Richard's Investments. Following this contribution, each of the reporting person's two children contributed 1 Euro in cash to Richard's Investments in exchange for 1 share of Richard's Investments. As a result, the reporting person directly holds 3,107,025 of the 3,107,027 outstanding shares of Richard's Investments and each of the reporting person's two children directly hold 1 share of Richard's Investments.
- F2The reporting person disclaims beneficial ownership of the shares that are held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.