SEC Form 4 · accession 0001499807-17-000072
K2M GROUP HOLDINGS, INC. · KTWO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carlos A Ferrer
Director
Period of report
Jun 6, 2017
Accepted (ET)
Jun 8, 2017 · 7:47 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 | Jun 6, 2017 | A | 2,521 | $0.00 | A | 65,902 | D | |
| Common StockF1,F2 | holding | — | — | — | 1,583,941 | I | See footnotes | |
| Common StockF2,F3 | holding | — | — | — | 57,796 | 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 | $22.81 | Jun 6, 2017 | A | 6,655 | A | — | Jun 5, 2027 | Common Stock | 6,655 | 6,655 | D |
Explanation of responses
- F1Represents securities held directly by FFC Partners III-B, L.P. ("FFC III-B").
- F2FFC 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.
- F3Represents securities held directly by FFC EP III.
- F4Reflects a grant of restricted stock which vests in three equal installments on June 6, 2018, June 6, 2019, and June 6, 2020.
- F5An option which vests in three equal installments on June 6, 2018, June 6, 2019 and June 6, 2020.