Home/Filings/4/0001181431-13-054267

4//SEC Filing

Telegraph Hill Partners SBIC, L.P. 4

Accession 0001181431-13-054267

CIK 0001348324other

View on SEC.gov Company Profile

Filed

Oct 16, 8:00 PM ET

Accepted

Oct 17, 4:07 PM ET

Size

52.2 KB

Accession

0001181431-13-054267

Insider Transaction Report

Form 4

Period: 2013-10-15

LDR HOLDING CORPLDRH

TELEGRAPH HILL PARTNERS LP

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)

TELEGRAPH HILL PARTNERS II L P

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total

THP Affiliates Fund, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)

Telegraph Hill Partners SBIC, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)

Telegraph Hill Partners SBIC, L.P.

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)

Telegraph Hill Partners Investment Management, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)

TELEGRAPH HILL PARTNERS II INVESTMENT MANAGEMENT, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total

Telegraph Hill Partners Management Company, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)

THP II Affiliates Fund, LLC

10% Owner

Transactions

Conversion
Common Stock
2013-10-15+2,136,887→ 2,136,887 total
Conversion
Convertible Notes
2013-10-15−69,971→ 0 total
Exp: 2016-04-25→ Common Stock (69,971 underlying)
Conversion
Common Stock
2013-10-15+406,148→ 2,543,035 total
Purchase
Common Stock
2013-10-15$15.00/sh+41,648$624,720→ 2,584,683 total
Purchase
Common Stock
2013-10-15$15.00/sh+7,175$107,625→ 375,320 total
Purchase
Common Stock
2013-10-15$15.00/sh+260$3,900→ 16,149 total
Conversion
Common Stock
2013-10-15+69,971→ 69,971 total
Conversion
Convertible Notes
2013-10-15−406,148→ 0 total
Exp: 2016-04-25→ Common Stock (406,148 underlying)
Conversion
Convertible Notes
2013-10-15−2,537→ 0 total
Exp: 2016-04-25→ Common Stock (2,537 underlying)
Conversion
Common Stock
2013-10-15+2,537→ 15,889 total
Conversion
Common Stock
2013-10-15+8,939→ 8,939 total
Conversion
Common Stock
2013-10-15+47,035→ 55,974 total
Conversion
Series C Preferred Stock
2013-10-15−368,145→ 0 total
→ Common Stock (368,145 underlying)
Conversion
Common Stock
2013-10-15+368,145→ 368,145 total
Conversion
Common Stock
2013-10-15+13,352→ 13,352 total
Conversion
Series C Preferred Stock
2013-10-15−47,035→ 0 total
→ Common Stock (47,035 underlying)
Purchase
Common Stock
2013-10-15$15.00/sh+917$13,755→ 56,891 total
Conversion
Series C Preferred Stock
2013-10-15−2,136,887→ 0 total
→ Common Stock (2,136,887 underlying)
Conversion
Series C Preferred Stock
2013-10-15−13,352→ 0 total
→ Common Stock (13,352 underlying)
Conversion
Convertible Notes
2013-10-15−8,939→ 0 total
Exp: 2016-04-25→ Common Stock (8,939 underlying)

Footnotes (7)

[F1]The Series C Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
[F2]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.
[F3]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.
[F4]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.
[F5]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.
[F6]Immediately prior to the closing of the Issuer's initial public offering, the Convertible Notes automatically converted into a number of shares of the Issuer's Common Stock equal to (a) the unpaid principal and accrued but unpaid interest on the Convertible Notes divided by (b) 50% of the price per share of the Issuer's Common Stock sold in the initial public offering.
[F7]Shares held directly by Telegraph Hill Partners, L.P. ("THP I"). THP IM is the general partner of THP I. 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.

Documents

1 file

4
rrd392812.xmlPrimary
FORM 4

Issuer

LDR HOLDING CORP

CIK 0001348324

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001588088

Filing Metadata

Form type: 4
Filed: Oct 16, 8:00 PM ET
Accepted: Oct 17, 4:07 PM ET
Size: 52.2 KB

View on SEC.gov