SEC Form 4 · accession 0000904454-16-001265
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean Traynor
Director · 10% Owner
Period of report
Jun 14, 2016
Accepted (ET)
Jun 16, 2016 · 4:27 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001499807
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Jun 14, 2016 | A | 3,999 | $0.00 | A | 4,439 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $14.38 | Jun 14, 2016 | A | 10,268 | A | — | Jun 14, 2026 | Common Stock | 10,268 | 10,268 | D |
Explanation of responses
- F1The option vests in three equal installments on August 15, 2017, August 15, 2018 and August 15, 2019.
- F2The Reporting Person also indirectly beneficially owns 13,727,751 shares of Common Stock held by Welsh, Carson, Anderson & Stowe XI, L.P. and 201,011 shares of Common Stock held by WCAS Capital Partners IV, L.P. The Reporting Person is a managing member of the respective sole general partners of Welsh, Carson, Anderson & Stowe XI, L.P. and WCAS Capital Partners IV, L.P. The Reporting Person may also be deemed to indirectly beneficially own 46,262 shares of Common Stock held by WCAS XI Co-Investors LLC. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however he disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.