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