SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Burrows James

(Last) (First) (Middle)
13785 RESEARCH BLVD., SUITE 200

(Street)
AUSTIN TX 78750

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
LDR HOLDING CORP [ LDRH ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operating Officer
3. Date of Earliest Transaction (Month/Day/Year)
08/12/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/12/2014 M 1,201 A $0.607 6,696(1) D
Common Stock 08/12/2014 M 1,851 A $1.6875 8,547 D
Common Stock 08/12/2014 M 3,703 A $1.6875 12,250 D
Common Stock 08/12/2014 M 7,970 A $2.2275 20,220 D
Common Stock 08/12/2014 S(2) 5,495 D $25.016(3) 14,725 D
Common Stock 08/12/2014 S(2) 14,725 D $24.6621(4) 0 D
Common Stock 08/13/2014 M 2,400 A $2.2275 2,400 D
Common Stock 08/13/2014 S(2) 2,400 D $25 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Incentive Stock Option (right to buy) $2.2275 08/12/2014 M 7,970 02/07/2009(5) 02/01/2018 Common Stock 7,970 $0.0 2,400 D
Incentive Stock Option (right to buy) $2.2275 08/13/2014 M 2,400 02/07/2009(5) 02/01/2018 Common Stock 2,400 $0.0 0 D
Incentive Stock Option (right to buy) $0.607 08/12/2014 M 1,201(6) 10/03/2006(7) 04/19/2015 Common Stock 1,201 $0.0 0 D
Incentive Stock Option (right to buy) $1.6875 08/12/2014 M 1,851 01/03/2007(8) 05/23/2016 Common Stock 1,851 $0.0 0 D
Incentive Stock Option (right to buy) $1.6875 08/12/2014 M 3,703 08/01/2007(9) 08/25/2016 Common Stock 3,703 $0.0 0 D
Explanation of Responses:
1. Includes 3,333 shares acquired under the LDR Holding Corporation Amended and Restated 2013 Employee Stock Purchase Plan on May 30, 2014 and 1,304 shares acquired in a Rule 16a-9 exempt transaction as a distribution from a limited partnership.
2. The transaction indicated was conducted under an approved 10b5-1 Plan adopted by the reporting person on June 6, 2014.
3. The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $25.00 to $25.07. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
4. The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $24.03 to $25.00. The reporting person undertakes to provide the Issuer and any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, further information regarding the number of shares sold at each separate price such shares were sold.
5. The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of February 7, 2008, then in thirty-six equal monthly installments thereafter.
6. The number of option shares held as reported on the Form 3 filed on October 8, 2013 was incorrect due to a rounding error. The Form 3 indicated 1,202 option shares and should have been reported as 1,201 option shares.
7. The option becomes exercisable in twenty-eight equal monthly installments commencing on October 3, 2006.
8. The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of January 3, 2006, then in thirty-six equal monthly installments thereafter.
9. The option becomes exercisable for 25% of the shares granted one year from the vesting commencement date of August 1, 2006, then in thirty-six equal monthly installments thereafter.
By: /s/ Scott E.Way For: James W. Burrows 08/14/2014
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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