SEC Form 4 · accession 0001499807-16-000172
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George Z Moratis
Officer — Global Accounting Officer
Period of report
May 7, 2016
Accepted (ET)
May 10, 2016 · 4:45 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 StockF1,F2 | May 7, 2016 | M | 2,744 | — | A | 5,083 | D | |
| Common StockF3,F4 | May 7, 2016 | S | 900 | $11.40 | D | 4,183 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F5 | — | May 7, 2016 | M | 2,744 | D | — | — | Common Stock | 2,744 | 2,744 | D |
Explanation of responses
- F1Each restricted stock unit converted into shares of common stock on a one-for-one basis.
- F2Includes shares of common stock acquired under the issuer's employee stock purchase plan.
- F3Reflects shares sold to cover the reporting person's tax liability in connection with the vesting of restricted stock units.
- F4The price in Column 4 is a weighted average. The prices actually received ranged from $11.38 to $11.40. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F5On May 7, 2014, the reporting person was granted 8,231 restricted stock units, vesting in three substantially equal annual installments on May 7, 2015, May 7, 2016 and May 7, 2017,