Filing Details
- Accession Number:
- 0001348324-14-000051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-08-14 18:12:50
- Reporting Period:
- 2014-08-12
- Filing Date:
- 2014-08-14
- Accepted Time:
- 2014-08-14 18:12:50
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1348324 | Ldr Holding Corp | LDRH | Surgical & Medical Instruments & Apparatus (3841) | 203933262 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1586700 | James Burrows | 13785 Research Blvd., Suite 200 Austin TX 78750 | Chief Operating Officer | No | Yes | No | 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 | 2014-08-12 | 1,201 | $0.61 | 6,696 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-08-12 | 1,851 | $1.69 | 8,547 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-08-12 | 3,703 | $1.69 | 12,250 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-08-12 | 7,970 | $2.23 | 20,220 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-12 | 5,495 | $25.02 | 14,725 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2014-08-12 | 14,725 | $24.66 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2014-08-13 | 2,400 | $2.23 | 2,400 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-08-13 | 2,400 | $25.00 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-08-12 | 7,970 | $0.00 | 7,970 | $2.23 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-08-13 | 2,400 | $0.00 | 2,400 | $2.23 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-08-12 | 1,201 | $0.00 | 1,201 | $0.61 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-08-12 | 1,851 | $0.00 | 1,851 | $1.69 |
| Common Stock | Incentive Stock Option (right to buy) | Disposition | 2014-08-12 | 3,703 | $0.00 | 3,703 | $1.69 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,400 | 2009-02-07 | 2018-02-01 | No | 4 | M | Direct |
| 0 | 2009-02-07 | 2018-02-01 | No | 4 | M | Direct |
| 0 | 2006-10-03 | 2015-04-19 | No | 4 | M | Direct |
| 0 | 2007-01-03 | 2016-05-23 | No | 4 | M | Direct |
| 0 | 2007-08-01 | 2016-08-25 | No | 4 | M | Direct |
Footnotes
- Includes 3,333 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 30, 2014 and 1,304 shares acquired in a Rule 16a-9 exempt transaction as a distribution from a limited partnership.
- The transaction indicated was conducted under an approved 10b5-1 Plan adopted by the reporting person on June 6, 2014.
- The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $25.00 to $25.07. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
- The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $24.03 to $25.00. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
- The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of February 7, 2008, then in thirty-six equal monthly installments thereafter.
- The number of option shares held as reported on the Form 3 filed on October 8, 2013 was incorrect due to a rounding error. The Form 3 indicated 1,202 option shares and should have been reported as 1,201 option shares.
- The option becomes exercisable in twenty-eight equal monthly installments commencing on October 3, 2006.
- The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of January 3, 2006, then in thirty-six equal monthly installments thereafter.
- The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of August 1, 2006, then in thirty-six equal monthly installments thereafter.
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