SEC Form 4 · accession 0001348324-15-000043
LDR HOLDING CORP · LDRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert McNamara
Officer — Chief Financial Officer
Period of report
Mar 12, 2015
Accepted (ET)
Mar 16, 2015 · 4:58 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 | Mar 12, 2015 | M | 2,410 | $15.00 | A | 4,985 | D | |
| Common Stock | Mar 12, 2015 | M | 5,000 | $15.00 | A | 9,985 | D | |
| Common Stock | Mar 12, 2015 | M | 590 | $15.00 | A | 10,575 | D | |
| Common StockF1 | Mar 12, 2015 | S | 8,000 | $38.0313 | D | 2,575 | D | |
| Common Stock | Mar 13, 2015 | M | 300 | $15.00 | A | 2,875 | D | |
| Common StockF2 | Mar 13, 2015 | S | 300 | $38.0333 | D | 2,575 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy)F3 | $15.00 | Mar 12, 2015 | M | 2,410 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 2,410 | 17,221 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.00 | Mar 12, 2015 | M | 5,000 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 5,000 | 40,110 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.00 | Mar 12, 2015 | M | 590 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 590 | 39,520 | D |
| Non-Qualified Stock Option (right to buy)F4 | $15.00 | Mar 13, 2015 | M | 300 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 300 | 39,220 | D |
Explanation of responses
- F1The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $38.00 to $38.165. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
- F2The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $38.00 to $38.10. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
- F3ISO becomes exercisable in combination with NQSO granted on the same date wherein the shares vest in forty-eight equal monthly installments from the vesting commencement date of September 11, 2013.
- F4The option becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013.