SC 13G/A 1 d852116dsc13ga.htm SC 13G/A SC 13G/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

LDR Holding Corporation

(Name of Issuer)

$0.001 par value common stock

(Title of Class of Securities)

50185U105

(CUSIP Number)

December 31, 2014

(Date of Event Which Requires Filing of this Statement)

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

¨ Rule 13d-1(b)

¨ Rule 13d-1(c)

x Rule 13d-1(d)

 

* The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 2 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

PTV Sciences II, L.P.

 

I.R.S. Identification Nos. of above persons (entities only).

 

EIN 20-4736917

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Delaware    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

PN    

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 3 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto Technology Ventures, L.P.

 

I.R.S. Identification Nos. of above persons (entities only).

 

EIN 27-0049242

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Delaware    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

PN    

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 4 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto Technology Ventures GP II, L.P.

 

I.R.S. Identification Nos. of above persons (entities only).

 

EIN 20-4736900

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Delaware    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

PN    

 

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 5 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto Technology Ventures GP, L.P.

 

I.R.S. Identification Nos. of above persons (entities only).

 

EIN 27-0049236

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Delaware    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

PN    

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 6 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Pinto TV GP Company LLC

 

I.R.S. Identification Nos. of above persons (entities only).

 

EIN 43-2059018

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

Delaware    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

OO    

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 7 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Matthew Crawford

 

I.R.S. Identification Nos. of above persons (entities only).

 

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

United States    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

29,473 shares of common stock    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

29,473 shares of common stock    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

29,473 shares of common stock    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

12.  

Type of Reporting Person (See Instructions)

 

IN    

SCHEDULE 13G

 

CUSIP No. 50185U105   Page 8 of 13 Pages

 

  1.   

Names of Reporting Persons.

 

Rick Anderson

 

I.R.S. Identification Nos. of above persons (entities only).

 

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ¨         (b)  ¨

  3.  

SEC Use Only

 

  4.  

Citizenship or Place of Organization

 

United States    

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

    5.    

Sole Voting Power

 

-0-    

   6.   

Shared Voting Power

 

-0-    

   7.   

Sole Dispositive Power

 

-0-    

   8.   

Shared Dispositive Power

 

-0-    

  9.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-    

10.  

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

¨    

11.  

Percent of Class Represented by Amount in Row (9)

 

0.0%    

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:

This statement on Schedule 13G is filed by PTV Sciences II, L.P. (“PTVS II”), Pinto Technology Ventures, L.P. (“PTV”), Pinto Technology Ventures GP II, L.P. (“PTV GP II”), Pinto Technology Ventures GP, L.P. (“PTV GP”), Pinto TV GP Company LLC (“TV GP”), Matthew Crawford (“Mr. Crawford”) and Rick Anderson (“Mr. Anderson” and, collectively with PTVS II, PTV, PTV GP II, PTV GP, TV GP and Mr. Crawford, the “Reporting Persons”).

(b) Address of Principal Business Office or, if none, Residence:

The address of the principal business office of each of the Reporting Persons is 3600 N. Capital of Texas Highway, Building B180, Austin, Texas 78746.

(c) Citizenship:

 

PTVS II    Delaware
PTV    Delaware
PTV GP II    Delaware
PTV GP    Delaware
TV GP    Delaware
Mr. Crawford    U.S. Citizen
Mr. Anderson    U.S. Citizen

(d) Title of Class of Securities:

common stock, $0.001 par value per share (the “Common Stock”)

(e) CUSIP Number: 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:

Not applicable

Item 4. Ownership.

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

Reporting

Persons (1)

    Shares
Held
Directly		      Sole
Voting
Power		      Shared
Voting
Power		      Sole
Dispositive
Power		      Shared
Dispositive
Power		      Beneficial
Ownership		      Percentage
of Class (2)		  

PTVS II

      0         0        0        0        0        0        0.0 % 

PTV

      0         0        0        0        0        0        0.0 % 

PTV GP II

      0         0        0        0        0        0        0.0 % 

PTV GP

      0         0        0        0        0        0        0.0 % 

TV GP

      0         0        0        0        0        0        0.0 % 

Mr. Crawford

      29,473         29,473        0        29,473        0        29,473        0.0 % 

Mr. Anderson

      0         0        0        0        0        0        0.0 % 

 

(1) Pinto Technology Ventures GP, L.P. (“PTV GP”) is general partner of Pinto Technology Ventures, L.P. (“PTV”). Pinto TV GP Company LLC (“TV GP”) is the general partner of PTV GP. Each of Matthew Crawford and Rick Anderson is a manager of TV GP and is deemed to have beneficial ownership of the shares held by PTV.

Pinto Technology Ventures GP II, L.P. (“PTV GP II”) is the general partner of PTV Sciences II, L.P. (“PTVS II”). TV GP is the general partner of PTV GP II. Each of Matthew Crawford and Rick Anderson is a manager of TV GP and is deemed to have beneficial ownership of the shares held by PTVS II.

 

(2) This percentage is calculated based upon (i) 26,056,690 shares of Common Stock outstanding as of October 31, 2014 as reported in the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 6, 2014.

 

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.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Dated: January 16, 2015

 

PTV Sciences II, L.P.
By:   Pinto Technology Ventures GP II, L.P
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP II, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures, L.P.
By:   Pinto Technology Ventures GP, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto TV GP Company LLC
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager

/s/ Matthew Crawford

Matthew Crawford

/s/ Rick Anderson

Rick Anderson

JOINT FILING AGREEMENT

In accordance with Rule 13(d)-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other of the attached statement on Schedule 13G and to all amendments to such statement.

Dated: January 16, 2015

 

PTV Sciences II, L.P.
By:   Pinto Technology Ventures GP II, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP II, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures, L.P.
By:   Pinto Technology Ventures GP, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager
Pinto Technology Ventures GP, L.P.
 

its General Partner

By:   Pinto TV GP Company LLC
 

its General Partner

By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager

Pinto TV GP Company LLC
By:  

/s/ Matthew Crawford

Name:   Matthew Crawford
Title:   Manager

/s/ Matthew Crawford

Matthew Crawford

/s/ Rick Anderson

Rick Anderson