SEC Form 4 · accession 0001499807-15-000090
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlos A Ferrer
Director
Period of report
Jul 1, 2015
Accepted (ET)
Jul 6, 2015 · 6:02 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 Stock | Jul 1, 2015 | A | 440 | $0.00 | A | 440 | D | |
| Common StockF2,F3 | holding | — | — | — | 2,223,075 | I | See footnotes | |
| Common StockF3,F4 | holding | — | — | — | 81,117 | I | See footnote |
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)F5 | $23.46 | Jul 1, 2015 | A | 10,500 | A | — | Jul 1, 2025 | Common Stock | 10,500 | 10,500 | D |
Explanation of responses
- F1Reflects a grant of restricted stock which vests in three equal installments on July 1, 2016, July 1, 2017 and July 1, 2018.
- F2Represents securities held directly by FFC Partners III-B, L.P. ("FFC III-B").
- F3FFC GP III, LLC is the general partner of each of FFC III-B and FFC Executive Partners III, L.P. ("FFC EP III", and together with FFC III-B and FFC GP III, LLC, the "FFC Entities"). Carlos A. Ferrer, a member of the issuer's board of directors, is a manager of FFC GP III, LLC. Mr. Ferrer disclaims beneficial ownership of all securities held by the FFC Entities, except to the extent of his pecuniary interest therein, if any.
- F4Represents securities held directly by FFC EP III.
- F5An option which vests in three equal installments on July 1, 2016, July 1, 2017 and July 1, 2018.