SEC Form 4 · accession 0001348324-15-000071
LDR HOLDING CORP · LDRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott E. Way
Officer — Exec VP General Counsel
Period of report
Jun 3, 2015
Accepted (ET)
Jun 5, 2015 · 4:25 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,F2 | Jun 3, 2015 | M | 800 | $3.105 | A | 2,457 | D | |
| Common StockF1 | Jun 3, 2015 | M | 2,000 | $5.94 | A | 4,457 | D | |
| Common StockF1 | Jun 3, 2015 | M | 1,000 | $5.94 | A | 5,457 | D | |
| Common StockF1 | Jun 3, 2015 | M | 5,000 | $15.00 | A | 10,457 | D | |
| Common StockF3 | Jun 3, 2015 | S | 10,000 | $42.00 | D | 457 | 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)F4 | $3.105 | Jun 3, 2015 | M | 800 | D | Sep 15, 2012 | Sep 16, 2021 | Common Stock | 800 | 930 | D |
| Incentive Stock Option (right to buy)F5 | $5.94 | Jun 3, 2015 | M | 2,000 | D | Jul 10, 2013 | Jul 10, 2022 | Common Stock | 2,000 | 6,061 | D |
| Incentive Stock Option (right to buy)F6 | $15.00 | Jun 3, 2015 | M | 5,000 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 5,000 | 9,814 | D |
| Non-Qualified Stock Option (right to buy)F5 | $5.94 | Jun 3, 2015 | M | 1,000 | D | Jul 10, 2013 | Jul 10, 2022 | Common Stock | 1,000 | 659 | D |
Explanation of responses
- F1The transaction indicated was conducted under an approved 10b5-1 Plan adopted by the reporting person on March 5, 2015.
- F2Includes 394 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 31, 2015.
- F3Includes 1,200 shares acquired through an RSU grant which vested on January 16, 2015.
- F4The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of September 15, 2011, then in thirty-six equal monthly installments thereafter.
- 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 July 10, 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.