FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LDR HOLDING CORP [ LDRH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/24/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction 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 | 09/24/2014 | S | 20,824 | D | $31.139(1) | 2,563,859 | I(2) | See Footnote 2 | ||
Common Stock | 09/25/2014 | S | 62,472 | D | $31.025(3) | 2,501,387 | I(2) | See Footnote 2 | ||
Common Stock | 09/26/2014 | S | 83,296 | D | $31.383(4) | 2,418,091 | I(2) | See Footnote 2 | ||
Common Stock | 09/24/2014 | S | 564 | D | $31.139(1) | 69,407 | I(5) | See Footnote 5 | ||
Common Stock | 09/25/2014 | S | 1,691 | D | $31.025(3) | 67,716 | I(5) | See Footnote 5 | ||
Common Stock | 09/26/2014 | S | 2,255 | D | $31.383(4) | 65,461 | I(5) | See Footnote 5 | ||
Common Stock | 09/24/2014 | S | 3,024 | D | $31.139(1) | 372,296 | I(6) | See Footnote 6 | ||
Common Stock | 09/25/2014 | S | 9,072 | D | $31.025(3) | 363,224 | I(6) | See Footnote 6 | ||
Common Stock | 09/26/2014 | S | 12,096 | D | $31.383(4) | 351,128 | I(6) | See Footnote 6 | ||
Common Stock | 09/24/2014 | S | 130 | D | $31.139(1) | 16,019 | I(7) | See Footnote 7 | ||
Common Stock | 09/25/2014 | S | 390 | D | $31.025(3) | 15,629 | I(7) | See Footnote 7 | ||
Common Stock | 09/26/2014 | S | 520 | D | $31.383(4) | 15,109 | I(7) | See Footnote 7 | ||
Common Stock | 09/24/2014 | S | 458 | D | $31.139(1) | 56,433 | I(8) | See Footnote 8 | ||
Common Stock | 09/25/2014 | S | 1,375 | D | $31.025(3) | 55,058 | I(8) | See Footnote 8 | ||
Common Stock | 09/26/2014 | S | 1,833 | D | $31.383(4) | 53,225 | I(8) | See Footnote 8 |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) | 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: 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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The range of prices for the shares of Common Stock is from $30.85 to $31.31. The Reporting Person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. |
2. 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. |
3. The range of prices for the shares of Common Stock is from $30.76 to $31.48. The Reporting Person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. |
4. The range of prices for the shares of Common Stock is from $30.87 to $31.80. The Reporting Person undertakes that it will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price. |
5. Shares held directly by Telegraph Hill Partners, L.P. ("THP I"). Telegraph Hill Partners Investment Management, LLC ("THP IM") is the general partner of THP I. Telegraph Hill Partners Management Company, LLC ("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. |
6. 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. |
7. 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. |
8. 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. |
Remarks: |
This Form 4 is one of two Forms 4 being filed by individuals or entities affiliated with Telegraph Hill Partners with respect to the Common Stock of LDR Holding Corporation. |
/s/ Robert Shepler /s/ J Matthew Mackowski /s/ Thomas Raffin /s/ Deval Lashkari | 09/26/2014 | |
** 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 Number. |