LDR Holding Corporation | ||
(Name of Issuer) | ||
Common Stock, par value $0.001 per share | ||
(Title of Class of Securities) | ||
50185U105 | ||
(CUSIP Number) | ||
December 31, 2014 | ||
(Date of Event Which Requires Filing of this Statement) |
CUSIP No. | 50185U105 |
1. | Names of Reporting Persons. | ||
I.R.S. Identification Nos. of above persons (entities only). | |||
Hervé Dinville | |||
2. | Check the Appropriate Box if a Member of a Group (See Instructions) | ||
(a) o | |||
(b) o | |||
3. | SEC Use Only | ||
4. | Citizenship or Place of Organization | ||
France | |||
Number of Shares Beneficially Owned by Each Reporting Person With | 5. | Sole Voting Power | |
1,152,876 (See Item 4) | |||
6. | Shares Voting Power | ||
-0- | |||
7. | Sole Dispositive Power | ||
1,152,876 (See Item 4) | |||
8. | Shared Dispositive Power | ||
-0- | |||
9. | Aggregate Amount Beneficially Owned by Each Reporting Person | ||
1,152,876 (See Item 4) | |||
10. | Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | ||
11. | Percent of Class Represented by Amount in Row (9) | ||
4.4% (See Item 4) | |||
12. | Type of Reporting Person (See Instructions) | ||
IN |
Item 1. | ||
(a) | Name of Issuer: | |
LDR Holding Corporation (the "Issuer") | ||
(b) | Address of Issuer's Principal Executive Offices: | |
13785 Research Boulevard, Suite 200 | ||
Austin, Texas 78750 |
Item 2. | ||
(a) | Name of Person(s) Filing: | |
Hervé Dinville | ||
(b) | Address of Principal Business Office or, if none, Residence: | |
The address of the principal business office of Hervé Dinville is | ||
c/o LDR Holding Corporation | ||
13785 Research Boulevard, Suite 200 | ||
Austin, Texas 78750 | ||
(c) | Citizenship: | |
Hervé Dinville - France | ||
(d) | Title of Class of Securities: | |
Common Stock, par value $0.001 per share (the “Common Stock”) | ||
(e) | CUSIP: | |
50185U105 |
Item 3. | If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | |
(a) | o | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
(b) | o | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
(c) | o | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
(d) | o | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
(e) | o | An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
(f) | o | An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
(g) | o | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
(h) | o | A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
(i) | o | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
(j) | o | Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
Item 4. | Ownership. | ||
(a) | Amount beneficially owned: | ||
1,152,876 (1) | |||
(b) | Percent of class: | ||
4.4% (2) | |||
(c) | Number of shares as to which the person has: | ||
(i) | Number of shares as to which the person has: | ||
1,152,876 (1) | |||
(ii) | Shared power to vote or to direct the vote: | ||
0 | |||
(iii) | Shared power to vote or to direct the vote: | ||
1,152,876 (1) | |||
(iv) | Shared power to dispose of or direct the disposition of: | ||
0 | |||
(1) | Includes 1,135,671 shares of Common Stock and 17,205 shares of Common Stock issuable upon the exercise of warrants (that were outstanding and exercisable within 60 days of December 31, 2014) to purchase shares of LDR Médical, SAS, a wholly owned subsidiary of the Issuer, which shares will automatically be converted into shares of the Common Stock of the Issuer upon exercise of the underlying warrant. | ||
(2) | Based on 26,457,167 shares of Common Stock outstanding as of December 31, 2014, as reported by the Issuer to the Reporting Person, plus the number of shares of Common Stock issuable upon the exercise of warrants beneficially owned by the Reporting Person, which shares are treated as outstanding shares of Common Stock for the purposes of determining beneficial ownership in accordance with Rule 13d-3 promulgated under the Exchange Act. |
Item 5. | Ownership of Five Percent or Less of a Class. | |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following. x |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. | |
Not applicable. |
Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. | |
Not applicable. |
Item 8. | Identification and Classification of Members of the Group. | |
Not applicable. |
Item 9. | Notice of Dissolution of Group. | |
Not applicable. |
Item 10. | Certification. | |
Not applicable. |
Dated: | January 26, 2015 | By: | /s/ Hervé Dinville | |
Hervé Dinville |