SEC Form 4 · accession 0000899243-16-024903

LDR HOLDING CORP · LDRH

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — EVP, LDR Medical

Period of report

Jul 7, 2016

Accepted (ET)

Jul 11, 2016 · 5:33 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 Stock^F1,F4	Jul 7, 2016	M	4,792	$5.0799	A	440,255	D
Common Stock^F1,F6	Jul 7, 2016	M	28,517	$12.2307	A	468,772	D
Common Stock^F2	holding	—	—		—	93,000	I	By Richard's Investments
Common Stock^F2,F3	holding	—	—		—	0	I	By Richard's Investments
Common Stock^F2,F3	holding	—	—		—	0	I	By Richard's Investments

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Medical Class A Warrants (right to buy)^F4,F5	—	Jul 7, 2016	M	4,792	D	Jul 10, 2013	Jun 30, 2022	Common Stock	4,792	0	D
Medical Class A Warrants (right to buy)^F6,F5	—	Jul 7, 2016	M	28,517	D	Oct 11, 2013	Jun 30, 2023	Common Stock	28,517	0	D

F1The exercise price was converted from Euros to US dollars based on the same-day currency exchange rate at the time of exercise.
F2The shares are owned by Richard's Investments, a French societe civile. 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.
F3The 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.
F4The warrant becomes exercisable for 25% of the shares granted upon one year from the vesting commencement date of July 10, 2012, then in thirty-six equal monthly installments thereafter. The exercise price is 26.63 EURO.
F5The BCE Warrants are exercisable for Class A Stock of LDR Medical S.A.S., the Issuer's majority-owned subsidiary, which are in turn convertible into the Issuer's Common Stock on a 1 for 5.80087 basis.
F6The warrant becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013. The exercise price is 64.11 EURO.