SEC Form 4 · accession 0001144204-17-052686
ORTHOPEDIATRICS CORP · KIDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark C Throdahl
Officer — President and CEO · Director
Period of report
Oct 16, 2017
Accepted (ET)
Oct 16, 2017 · 6:05 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001425450
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Oct 16, 2017 | C | 7,640 | — | A | 188,282 | D | |
| Common StockF3 | Oct 16, 2017 | F | 31,082 | $13.00 | D | 157,200 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Convertible Preferred StockF2 | — | Oct 16, 2017 | C | 11,403 | D | — | — | Common Stock | 7,640 | 0 | D |
Explanation of responses
- F1Represents shares received upon conversion of the Series B Convertible Preferred Stock immediately prior to the completion of the Issuer's initial public offering.
- F2Each share of Series B Convertible Preferred Stock converted into approximately 0.67 shares of Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering.
- F3Represents shares delivered to the Issuer to satisfy tax withholdings in connection with the lapse of restrictions on 67,877 shares of restricted common stock.