SEC Form 4 · accession 0001499807-17-000004
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Philip Kostuik M.D.
Officer — Chief Medical Officer · Director
Period of report
Jan 17, 2017
Accepted (ET)
Jan 19, 2017 · 6:38 pm EST
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 | Jan 17, 2017 | M | 20,000 | $9.26 | A | 269,107 | D | |
| Common Stock | Jan 17, 2017 | S | 20,000 | $21.8498 | D | 249,107 | D | |
| Common Stock | Jan 18, 2017 | M | 24,329 | $9.26 | A | 273,436 | D | |
| Common Stock | Jan 18, 2017 | S | 24,329 | $21.5796 | D | 249,107 | D | |
| Common Stock | Jan 19, 2017 | M | 27,969 | $9.26 | A | 277,076 | D | |
| Common StockF2 | Jan 19, 2017 | S | 27,969 | $21.39 | D | 249,107 | 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)F3 | $9.26 | Jan 17, 2017 | M | 20,000 | D | — | Feb 26, 2021 | Common Stock | 20,000 | 62,304 | D |
| Stock Option (Right to Buy)F3 | $9.26 | Jan 18, 2017 | M | 24,329 | D | — | Feb 26, 2021 | Common Stock | 24,329 | 37,975 | D |
| Stock Option (Right to Buy)F3 | $9.26 | Jan 19, 2017 | M | 27,969 | D | — | Feb 26, 2021 | Common Stock | 27,969 | 10,006 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.
- F2The price in Column 4 is a weighted average. The prices actually received ranged from $21.18 to $21.58. 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.
- F3An option which is fully vested.