SEC Form 4 · accession 0001348324-15-000063

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

May 11, 2015

Accepted (ET)

May 12, 2015 · 5:31 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
Common Stock	May 11, 2015	M	996	$4.185	A	3,571	D
Common Stock	May 11, 2015	M	1,111	$15.00	A	4,682	D
Common Stock	May 11, 2015	M	1,781	$4.185	A	6,463	D
Common Stock	May 11, 2015	M	1,667	$15.00	A	8,130	D
Common Stock	May 11, 2015	M	2,197	$15.00	A	10,327	D
Common Stock	May 11, 2015	M	5,468	$27.41	A	15,795	D
Common Stock	May 11, 2015	M	1,250	$32.78	A	17,045	D
Common Stock^F1,F2	May 11, 2015	S	17,045	$38.1323	D	0	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	$4.185	May 11, 2015	M	996	D	Apr 23, 2013	May 21, 2022	Common Stock	996	5,976	D
Incentive Stock Option (right to buy)^F4	$15.00	May 11, 2015	M	1,111	D	Oct 11, 2013	Oct 8, 2023	Common Stock	1,111	16,110	D
Non-Qualified Stock Option (right to buy)^F5	$4.185	May 11, 2015	M	1,781	D	Apr 23, 2013	May 21, 2022	Common Stock	1,781	10,698	D
Non-Qualified Stock Option (right to buy)^F6	$15.00	May 11, 2015	M	1,667	D	Oct 11, 2013	Oct 8, 2023	Common Stock	1,667	37,553	D
Non-Qualified Stock Option (right to buy)^F6	$15.00	May 11, 2015	M	2,197	D	Oct 11, 2013	Oct 8, 2023	Common Stock	2,197	35,356	D
Non-Qualified Stock Option (right to buy)^F7	$27.41	May 11, 2015	M	5,468	D	Feb 16, 2014	Jan 16, 2024	Common Stock	5,468	12,032	D
Non-Qualified Stock Option (right to buy)^F8	$32.78	May 11, 2015	M	1,250	D	Feb 1, 2015	Jan 1, 2025	Common Stock	1,250	13,750	D

Explanation of responses

F1Includes 346 ESPP shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 30, 2014. Also includes 2,229 shares acquired through an RSU grant which vested on January 16, 2015.
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 $38.26. 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 25% of the shares granted become exercisable upon one year from the vesting commencement date of April 23, 2012, then in thirty-six equal monthly installments thereafter.
F4ISO 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.
F5ISO becomes exercisable in combination with NQSO granted on the same date wherein 25% of the shares granted become exercisable upon one year from the vesting commencement date of April 23, 2012, then in thirty-six equal monthly installments thereafter.
F6The option becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013.
F7The option becomes exercisable in forty-eight equal monthly installments from the vesting commencement date of January 16, 2014.
F8The option becomes exercisable in forty-eight monthly installments from the vesting commencement date of January 1, 2015.