SEC Form 4 · accession 0001348324-15-000118
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
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 4:52 pm EST
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 | Nov 9, 2015 | M | 2,986 | $4.185 | A | 3,380 | D | |
| Common Stock | Nov 9, 2015 | M | 3,333 | $15.00 | A | 6,713 | D | |
| Common Stock | Nov 9, 2015 | M | 3,760 | $4.185 | A | 10,473 | D | |
| Common StockF1,F2 | Nov 9, 2015 | S | 10,473 | $26.4451 | D | 0 | D | |
| Common Stock | Nov 10, 2015 | M | 1,586 | $4.185 | A | 1,586 | D | |
| Common Stock | Nov 10, 2015 | M | 5,000 | $15.00 | A | 6,586 | D | |
| Common Stock | Nov 10, 2015 | M | 2,314 | $15.00 | A | 8,900 | D | |
| Common StockF3 | Nov 10, 2015 | S | 8,900 | $25.8441 | 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)F4 | $4.185 | Nov 9, 2015 | M | 2,986 | D | Apr 23, 2013 | May 21, 2022 | Common Stock | 2,986 | 2,990 | D |
| Incentive Stock Option (right to buy)F5 | $15.00 | Nov 9, 2015 | M | 3,333 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 3,333 | 12,777 | D |
| Non-Qualified Stock Option (right to buy)F6 | $4.185 | Nov 9, 2015 | M | 3,760 | D | Apr 23, 2013 | May 21, 2022 | Common Stock | 3,760 | 6,938 | D |
| Non-Qualified Stock Option (right to buy)F6 | $4.185 | Nov 10, 2015 | M | 1,586 | D | Apr 23, 2013 | May 21, 2022 | Common Stock | 1,586 | 5,352 | D |
| Non-Qualified Stock Option (right to buy)F7 | $15.00 | Nov 10, 2015 | M | 5,000 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 5,000 | 30,356 | D |
| Non-Qualified Stock Option (right to buy)F7 | $15.00 | Nov 10, 2015 | M | 2,314 | D | Oct 11, 2013 | Oct 8, 2023 | Common Stock | 2,314 | 28,042 | D |
Explanation of responses
- F1Includes 394 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 31, 2015.
- F2The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $26.25 to $26.92. 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.
- F3The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $25.63 to $26.135. 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.
- F4ISO 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.
- F5ISO 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.
- F6ISO 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.
- F7The option becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013.