SEC Form 4 · accession 0001348324-16-000168
LDR HOLDING CORP · LDRH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
G. Joseph Ross
Officer — Exec VP Global Marketing
Period of report
Mar 11, 2016
Accepted (ET)
Mar 11, 2016 · 4:28 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 Stock | Mar 11, 2016 | M | 2,288 | $3.105 | A | 7,520 | D | |
| Common Stock | Mar 11, 2016 | M | 10,093 | $5.94 | A | 17,613 | D | |
| Common StockF1,F2 | Mar 11, 2016 | S | 17,613 | $23.0731 | 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 | $3.105 | Mar 11, 2016 | M | 2,288 | D | Feb 1, 2012 | Nov 19, 2020 | Common Stock | 2,288 | 0 | D |
| Incentive Stock Option (right to buy)F4 | $5.94 | Mar 11, 2016 | M | 10,093 | D | Jul 10, 2013 | Jul 10, 2022 | Common Stock | 10,093 | 1,176 | D |
Explanation of responses
- F1Includes 394 and 306 ESPP shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 31, 2015 and November 30, 2015 respectively. Also includes 842 RSU shares acquired on 1/1/16, 1,263 RSU shares acquired on 1/16/16, and 2,427 Performance RSU shares acquired on 2/15/16.
- F2The price indicated is the weighted average sale price for the shares sold. The individual sale price for the shares indicated range from $22.87 to $23.24. 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 January 1, 2012.
- 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 July 10, 2012, then in thirty-six equal monthly installments thereafter.