Filing Details
- Accession Number:
- 0001181431-13-054269
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-17 16:10:08
- Reporting Period:
- 2013-10-15
- Filing Date:
- 2013-10-17
- Accepted Time:
- 2013-10-17 16:10:08
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1348324 | Ldr Holding Corp | LDRH | Surgical & Medical Instruments & Apparatus (3841) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1026185 | Matthew J Mackowski | 360 Post Street, Suite 601 San Francisco CA 94108 | No | No | Yes | No | |
1113663 | G Robert Shepler | 360 Post Street, Suite 601 San Francisco CA 94108 | No | No | Yes | No | |
1512119 | A. Thomas Raffin | 360 Post Street, Suite 601 San Francisco CA 94108 | No | No | Yes | No | |
1588083 | Deval Lashkari | 360 Post Street, Suite 601 San Francisco CA 94108 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-10-15 | 2,136,887 | $0.00 | 2,136,887 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 406,148 | $0.00 | 2,543,035 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 41,648 | $15.00 | 2,584,683 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 368,145 | $0.00 | 368,145 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 7,175 | $15.00 | 375,820 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 13,352 | $0.00 | 13,352 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 2,537 | $0.00 | 15,889 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 260 | $15.00 | 16,149 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 8,939 | $0.00 | 8,939 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 47,035 | $0.00 | 55,974 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 917 | $15.00 | 56,891 | No | 4 | P | Indirect | See Footnote |
Common Stock | Acquisiton | 2013-10-15 | 69,971 | $0.00 | 69,971 | No | 4 | C | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Preferred Stock | Disposition | 2013-10-15 | 2,136,887 | $0.00 | 2,136,887 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2013-10-15 | 368,145 | $0.00 | 368,145 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2013-10-15 | 13,352 | $0.00 | 13,352 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2013-10-15 | 47,035 | $0.00 | 47,035 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-10-15 | 406,148 | $0.00 | 406,148 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-10-15 | 2,537 | $0.00 | 2,537 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-10-15 | 8,939 | $0.00 | 8,939 | $0.00 |
Common Stock | Convertible Notes | Disposition | 2013-10-15 | 69,971 | $0.00 | 69,971 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | 2016-04-25 | No | 4 | C | Indirect | |
0 | 2016-04-25 | No | 4 | C | Indirect | |
0 | 2016-04-25 | No | 4 | C | Indirect | |
0 | 2016-04-25 | No | 4 | C | Indirect |
Footnotes
- The Series C Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
- Shares held directly by Telegraph Hill Partners II, L.P. ("THP II"). Telegraph Hill Partners II Investment Management, LLC ("THP II IM") is the general partner of THP II. Telegraph Hill Partners Management Company, LLC ("THPMC") is the manager of THP II IM. Robert G. Shepler, J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to have beneficial ownership of the shares held by THP II.
- Shares held directly by Telegraph Hill Partners SBIC, L.P. ("THP SBIC"). Telegraph Hill Partners SBIC, LLC ("THP SBIC, LLC") is the general partner of THP SBIC. Robert Shepler, Dr. Thomas Raffin, J. Matthew Mackowski and Deval Lashkari are the managers of THP SBIC, LLC and may be deemed to have beneficial ownership of the shares held by THP SBIC.
- Shares held directly by THP Affiliates Fund, LLC ("THP Affiliates"). Telegraph Hill Partners Investment Management, LLC ("THP IM") the manager of THP Affiliates ("THP Affiliates"). THPMC is the manager of THP IM. Robert G. Shepler, J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to have beneficial ownership of the shares held by THP Affiliates.
- Shares held directly by THP II Affiliates Fund, LLC ("THP II Affiliates"). THP II IM the manager of THP II Affiliates. THPMC is the manager of both THP II IM. Robert G. Shepler, J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to have beneficial ownership of the shares held by THP II Affiliates.
- Immediately prior to the closing of the Issuer's initial public offering, the Convertible Notes automatically converted into a number of shares of the Issuer's Common Stock equal to (a) the unpaid principal and accrued but unpaid interest on the Convertible Notes divided by (b) 50% of the price per share of the Issuer's Common Stock sold in the initial public offering.
- Shares held directly by Telegraph Hill Partners, L.P. ("THP I"). THP IM is the general partner of THP I. THPMC is the manager of THP IM. Robert G. Shepler, J. Matthew Mackowski, Dr. Thomas A. Raffin and Deval Lashkari are each managers of THPMC and may be deemed to have beneficial ownership of the shares held by THP I.