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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
LDR HOLDING CORP [ LDRH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/20/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 05/20/2014 | S | 576,652(1) | D | $24.5 | 1,685,932 | D(2) | |||
Common Stock | 05/20/2014 | S | 92,220(1) | D | $24.5 | 269,620 | D(3) | |||
Common Stock | 05/20/2014 | S | 63,128(1) | D | $24.5 | 184,567 | D(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Reflects sales of shares in the follow-on offering of common stock of LDR Holding Corporation that closed on May 20, 2014. |
2. Shares held directly by R Capital Technologies FCPR ("RCT"). Keensight Capital ("Keensight") is the managing company of RCT. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of Keensight and each of them may be deemed to have beneficial ownership of the shares held by RCT. |
3. Shares held directly by R Capital Prive Technologies FCPR ("RCPT"). Keensight is the managing company of RCPT. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of Keensight and each of them may be deemed to have beneficial ownership of the shares held by RCPT. |
4. Shares held directly by R Capital III FCPR ("R Capital III"). Keensight is the managing company of R Capital III. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of Keensight and each of them may be deemed to have beneficial ownership of the shares held by R Capital III. |
Remarks: |
Until November 2013, Keensight Capital was a majority-owned subsidiary of Paris Orleans SCA, and was known as R Capital Management. In November 2013, R Capital Management ceased to be a subsidiary of Paris Orleans SCA and changed its name to Keensight Capital. |
/s/ Denise Cruz for R Capital Technologies FCPR | 05/21/2014 | |
/s/ Denise Cruz for R Capital Prive Technologies FCPR | 05/21/2014 | |
/s/ Denise Cruz for R Capital III FCPR | 05/21/2014 | |
/s/ Denise Cruz for Keensight Capital | 05/21/2014 | |
/s/ Denise Cruz for Pierre Remy | 05/21/2014 | |
/s/ Denise Cruz for Jerome Pujol | 05/21/2014 | |
/s/ Denise Cruz for Jean-Michel Beghin | 05/21/2014 | |
** 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |