0000899243-16-024903.txt : 20160711
0000899243-16-024903.hdr.sgml : 20160711
20160711173351
ACCESSION NUMBER: 0000899243-16-024903
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160707
FILED AS OF DATE: 20160711
DATE AS OF CHANGE: 20160711
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: LDR HOLDING CORP
CENTRAL INDEX KEY: 0001348324
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 203933262
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 13785 RESEARCH BOULEVARD
STREET 2: SUITE 200
CITY: AUSTIN
STATE: TX
ZIP: 78750
BUSINESS PHONE: 512-344-3333
MAIL ADDRESS:
STREET 1: 13785 RESEARCH BOULEVARD
STREET 2: SUITE 200
CITY: AUSTIN
STATE: TX
ZIP: 78750
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Richard Patrick
CENTRAL INDEX KEY: 0001586615
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36095
FILM NUMBER: 161762795
MAIL ADDRESS:
STREET 1: C/O LDR HOLDING CORPORATION
STREET 2: 13785 RESEARCH BLVD STE 200
CITY: AUSTIN
STATE: TX
ZIP: 78750
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-07-07
0
0001348324
LDR HOLDING CORP
LDRH
0001586615
Richard Patrick
C/O LDR HOLDING CORPORATION
13785 RESEARCH BLVD STE 200
AUSTIN
TX
78750
0
1
0
0
EVP, LDR Medical
Common Stock
2016-07-07
4
M
0
4792
5.0799
A
440255
D
Common Stock
2016-07-07
4
M
0
28517
12.2307
A
468772
D
Common Stock
92999.9402
I
By Richard's Investments
Common Stock
0.0299
I
By Richard's Investments
Common Stock
0.0299
I
By Richard's Investments
Medical Class A Warrants (right to buy)
2016-07-07
4
M
0
4792
0.00
D
2013-07-10
2022-06-30
Common Stock
4792
0
D
Medical Class A Warrants (right to buy)
2016-07-07
4
M
0
28517
0.00
D
2013-10-11
2023-06-30
Common Stock
28517
0
D
The exercise price was converted from Euros to US dollars based on the same-day currency exchange rate at the time of exercise.
The shares are owned by Richard's Investments, a French societe civile. The reporting person directly holds 3,107,025 of the 3,107,027 outstanding shares of Richard's Investments and each of the reporting person's two children directly hold 1 share of Richard's Investments.
The reporting person disclaims beneficial ownership of the shares that are held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.
The warrant becomes exercisable for 25% of the shares granted upon one year from the vesting commencement date of July 10, 2012, then in thirty-six equal monthly installments thereafter. The exercise price is 26.63 EURO.
The BCE Warrants are exercisable for Class A Stock of LDR Medical S.A.S., the Issuer's majority-owned subsidiary, which are in turn convertible into the Issuer's Common Stock on a 1 for 5.80087 basis.
The warrant becomes exercisable in forty-eight equal monthly installments following the vesting commencement date of September 11, 2013. The exercise price is 64.11 EURO.
By: /s/ Denise Cruz for Patrick Richard
2016-07-11