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*
PTV SCIENCES II L P

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(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 X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
10/15/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X 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 10/15/2013 C 329,485 A (2) 418,860 D(1)
Common Stock 10/15/2013 C 40,403 A (3) 459,263 D(1)
Common Stock 10/15/2013 C 296,593 A (4) 755,856 D(1)
Common Stock 10/15/2013 C 317,915 A (5) 1,073,771 D(1)
Common Stock 10/15/2013 P 25,000 A $15 1,098,771 D(1)
Common Stock 10/15/2013 C 606,634 A (5) 606,634 D(6)
Common Stock 10/15/2013 C 309,537 A (7) 916,171 D(6)
Common Stock 10/15/2013 P 25,000 A $15 941,171 D(6)
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
Series A-1 Preferred Stock (2) 10/15/2013 C 329,485 (2) (2) Common Stock 329,485 $0 0 D(1)
Series A-2 Preferred Stock (3) 10/15/2013 C 40,403 (3) (3) Common Stock 40,403 $0 0 D(1)
Series B Preferred Stock (4) 10/15/2013 C 296,593 (4) (4) Common Stock 296,593 $0 0 D(1)
Series C Preferred Stock (5) 10/15/2013 C 317,915 (5) (5) Common Stock 317,915 $0 0 D(1)
Series C Preferred Stock (5) 10/15/2013 C 606,634 (5) (5) Common Stock 606,634 $0 0 D(6)
Convertible Notes (7) 10/15/2013 C 309,537 (7) 04/25/2016(7) Common Stock 309,537 $0 0 D(6)
1. Name and Address of Reporting Person*
PTV SCIENCES II L P

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Pinto Technology Ventures GP II, L.P.

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
PINTO TECHNOLOGY VENTURES L P

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Pinto Technology Ventures GP, L.P.

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Pinto TV GP CO LLC

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
1. Name and Address of Reporting Person*
Crawford Matthew S

(Last) (First) (Middle)
3600 N. CAPITAL OF TEXAS HWY
BUILDING B, SUITE 245

(Street)
AUSTIN TX 78746

(City) (State) (Zip)

Relationship of Reporting Person(s) to Issuer
Director X 10% Owner
Officer (give title below) Other (specify below)
Explanation of Responses:
1. 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.
2. 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.
3. 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.
4. The Series B Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
5. The Series C Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.
6. 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.
7. 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.
Remarks:
The reporting persons ceased to beneficially own more than 10% of Issuer's Common Stock upon the closing of the Issuer's initial public offering on October 15, 2013.
/s/ Denise Cruz for PTV Sciences II L P 10/17/2013
/s/ Denise Cruz for Pinto Technology Ventures GP II, L.P. 10/17/2013
/s/ Denise Cruz for Pinto Technology Ventures LP 10/17/2013
/s/ Denise Cruz for Pinto Technology Ventures GP, L.P. 10/17/2013
/s/ Denise Cruz for Pinto TV GP CO LLC 10/17/2013
/s/ Denise Cruz for Matthew S. Crawford 10/17/2013
** 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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