SEC Form 4 · accession 0001348324-16-000123
LDR HOLDING CORP · LDRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andre Potgieter
Officer — VP US Sales
Period of report
Jan 1, 2016
Accepted (ET)
Jan 5, 2016 · 5:25 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,F2 | Jan 1, 2016 | M | 1,250 | — | A | 7,137 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F3 | $25.11 | Jan 1, 2016 | A | 22,609 | A | Feb 1, 2016 | Jan 1, 2026 | Common Stock | 22,609 | 22,609 | D |
| Restricted Stock Unit (RSU)F1,F4 | — | Jan 1, 2016 | A | 11,304 | A | — | — | Common Stock | 11,304 | 26,147 | D |
| Restricted Stock Unit (RSU)F1,F5 | — | Jan 1, 2016 | M | 1,250 | D | — | — | Common Stock | 1,250 | 24,897 | D |
Explanation of responses
- F1Each restricted stock unit represents a right to receive one share of the Issuer's common stock.
- F2Includes 3,333 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 30, 2014. Also includes 306 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on November 30, 2015.
- F3The option becomes exercisable in 48 monthly installments from the vesting commencement date of January 1, 2016.
- F4The restricted stock units vest 25% annually over 4 years from the vesting commencement date of January 1, 2016. Vested shares shall be delivered to the reporting person on January 1 of the following calendar year or as soon as practicable thereafter.
- F5The restricted stock units vest 25% annually over 4 years from the vesting commencement date of January 1, 2015. Vested shares shall be delivered to the reporting person on January 1 of the following calendar year or as soon as practicable thereafter.