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4//SEC Filing

LDR HOLDING CORP 4

Accession 0001181431-13-054271

CIK 0001348324operating
View on SEC.govCompany Profile

Filed

Oct 16, 8:00 PM ET

Accepted

Oct 17, 4:12 PM ET

Size

36.3 KB

Accession

0001181431-13-054271

Insider Transaction Report

Form 4
Period: 2013-10-15
LDR HOLDING CORPLDRH
PTV SCIENCES II L P
10% Owner
Transactions
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
Pinto Technology Ventures GP II, L.P.
10% Owner
Transactions
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
PINTO TECHNOLOGY VENTURES L P
10% Owner
Transactions
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
Pinto Technology Ventures GP, L.P.
10% Owner
Transactions
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
Pinto TV GP CO LLC
10% Owner
Transactions
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
Crawford Matthew S
10% Owner
Transactions
  • Conversion

    Common Stock

    2013-10-15+317,915→ 1,073,771 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 1,098,771 total
  • Conversion

    Series A-1 Preferred Stock

    2013-10-15−329,485→ 0 total
    → Common Stock (329,485 underlying)
  • Conversion

    Series B Preferred Stock

    2013-10-15−296,593→ 0 total
    → Common Stock (296,593 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−317,915→ 0 total
    → Common Stock (317,915 underlying)
  • Conversion

    Convertible Notes

    2013-10-15−309,537→ 0 total
    Exp: 2016-04-25→ Common Stock (309,537 underlying)
  • Conversion

    Common Stock

    2013-10-15+40,403→ 459,263 total
  • Conversion

    Common Stock

    2013-10-15+606,634→ 606,634 total
  • Purchase

    Common Stock

    2013-10-15$15.00/sh+25,000$375,000→ 941,171 total
  • Conversion

    Common Stock

    2013-10-15+329,485→ 418,860 total
  • Conversion

    Common Stock

    2013-10-15+296,593→ 755,856 total
  • Conversion

    Common Stock

    2013-10-15+309,537→ 916,171 total
  • Conversion

    Series A-2 Preferred Stock

    2013-10-15−40,403→ 0 total
    → Common Stock (40,403 underlying)
  • Conversion

    Series C Preferred Stock

    2013-10-15−606,634→ 0 total
    → Common Stock (606,634 underlying)
Footnotes (7)
  • [F1]Shares held directly by Pinto Technology Ventures, L.P. ("PTV"). Pinto Technology Ventures GP, L.P. ("PTV GP") is general partner of PTV. Pinto TV GP Company LLC ("TV GP") is the general partner of PTV GP. Matthew Crawford is a manager of TV GP and may be deemed to have beneficial ownership of the shares held by PTV.
  • [F2]The Series A-1 Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
  • [F3]The Series A-2 Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
  • [F4]The Series B Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
  • [F5]The Series C Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
  • [F6]Shares held directly by PTV Sciences II, L.P. ("PTVS II"). Pinto Technology Ventures GP II, L.P. ("PTV GP II") is the general partner of PTVS II. TV GP is the general partner of PTV GP II. Matthew Crawford is a manager of TV GP and may be deemed to have beneficial ownership of the shares held by PTV.
  • [F7]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.

Documents

1 file

Issuer

LDR HOLDING CORP

CIK 0001348324

→
Entity typeoperating

Related Parties

1
  • filerCIK 0001348324

Filing Metadata

Form type
4
Filed
Oct 16, 8:00 PM ET
Accepted
Oct 17, 4:12 PM ET
Size
36.3 KB
View on SEC.gov