Home > Insider Trading > Filing (0001181431-13-054269)

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	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

Show Other Fields >>

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

Show Other Fields >>

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

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
	No	4	C	Indirect
2016-04-25	No	4	C	Indirect
2016-04-25	No	4	C	Indirect
2016-04-25	No	4	C	Indirect
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.