ADVFN Logo ADVFN

We could not find any results for:
Make sure your spelling is correct or try broadening your search.

Trending Now

Toplists

It looks like you aren't logged in.
Click the button below to log in and view your recent history.

Hot Features

Registration Strip Icon for default Register for Free to get streaming real-time quotes, interactive charts, live options flow, and more.

LDRH Ldr Holding Corp.

36.98
0.00 (0.00%)
Pre Market
Last Updated: 01:00:00
Delayed by 15 minutes
Share Name Share Symbol Market Type
Ldr Holding Corp. NASDAQ:LDRH NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 36.98 36.93 37.05 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

11/07/2016 10:35pm

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Richard Patrick
2. Issuer Name and Ticker or Trading Symbol

LDR HOLDING CORP [ LDRH ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
EVP, LDR Medical
(Last)          (First)          (Middle)

C/O LDR HOLDING CORPORATION, 13785 RESEARCH BLVD STE 200
3. Date of Earliest Transaction (MM/DD/YYYY)

7/7/2016
(Street)

AUSTIN, TX 78750
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   7/7/2016     M    4792   A $5.0799   (1) (4) 440255   D    
Common Stock   7/7/2016     M    28517   A $12.2307   (1) (6) 468772   D    
Common Stock                  92999.9402   (2) I   By Richard's Investments   (2)
Common Stock                  0.0299   (2) (3) I   By Richard's Investments   (2) (3)
Common Stock                  0.0299   (2) (3) I   By Richard's Investments   (2) (3)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Medical Class A Warrants (right to buy)     (4) 7/7/2016     M         4792    7/10/2013   (4) 6/30/2022   Common Stock   (5) 4792   $0.00   0   D    
Medical Class A Warrants (right to buy)     (6) 7/7/2016     M         28517    10/11/2013   (6) 6/30/2023   Common Stock   (5) 28517   $0.00   0   D    

Explanation of Responses:
( 1)  The exercise price was converted from Euros to US dollars based on the same-day currency exchange rate at the time of exercise.
( 2)  The shares are owned by Richard's Investments, a French societe civile. The reporting person directly holds 3,107,025 of the 3,107,027 outstanding shares of Richard's Investments and each of the reporting person's two children directly hold 1 share of Richard's Investments.
( 3)  The reporting person disclaims beneficial ownership of the shares that are held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.
( 4)  The warrant becomes exercisable for 25% of the shares granted upon one year from the vesting commencement date of July 10, 2012, then in thirty-six equal monthly installments thereafter. The exercise price is 26.63 EURO.
( 5)  The BCE Warrants are exercisable for Class A Stock of LDR Medical S.A.S., the Issuer's majority-owned subsidiary, which are in turn convertible into the Issuer's Common Stock on a 1 for 5.80087 basis.
( 6)  The warrant becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013. The exercise price is 64.11 EURO.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Richard Patrick
C/O LDR HOLDING CORPORATION
13785 RESEARCH BLVD STE 200
AUSTIN, TX 78750


EVP, LDR Medical

Signatures
By: /s/ Denise Cruz for Patrick Richard 7/11/2016
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

1 Year LDR HOLDING CORP Chart

1 Year LDR HOLDING CORP Chart

1 Month LDR HOLDING CORP Chart

1 Month LDR HOLDING CORP Chart

Your Recent History

Delayed Upgrade Clock