SEC Form 4 · accession 0001499807-16-000183
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gregory S Cole
Officer — Chief Financial Officer
Period of report
May 21, 2016
Accepted (ET)
May 24, 2016 · 6:25 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 | May 21, 2016 | M | 20,576 | — | A | 33,233 | D | |
| Common StockF2,F3 | May 21, 2016 | S | 6,465 | $11.32 | D | 26,768 | 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,F4 | — | May 21, 2016 | M | 20,576 | D | — | — | Common Stock | 20,576 | 0 | D |
Explanation of responses
- F1Each restricted stock unit converted into shares of common stock on a one-for-one basis.
- F2Reflects shares sold to cover the reporting person's tax liability in connection with the vesting of restricted stock units pursuant to a Rule 10b5-1 trading plan.
- F3The price in Column 4 is a weighted average. The prices actually received ranged from $11.12 to $11.52. 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 hold at each price within the range.
- F4On May 21, 2013, the reporting person was granted 41,152 restricted stock units, vesting in two substantially equal installments on May 21, 2015 and May 21, 2016.