SEC FORM 4

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^*

R CAPITAL TECHNOLOGIES FCPR

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	10/15/2013		C		142,032	A	⁽³⁾	375,547	D⁽¹⁾
Common Stock	10/15/2013		C		1,755,912	A	⁽⁴⁾	2,131,459	D⁽¹⁾
Common Stock	10/15/2013		C		67,687	A	⁽⁵⁾	2,199,146	D⁽¹⁾
Common Stock	10/15/2013		C		54,817	A	⁽⁶⁾	2,253,963	D⁽¹⁾
Common Stock	10/15/2013		P		8,621	A	$15	2,262,584	D⁽¹⁾
Common Stock	10/15/2013		C		22,710	A	⁽³⁾	60,051	D⁽²⁾
Common Stock	10/15/2013		C		280,820	A	⁽⁴⁾	340,871	D⁽²⁾
Common Stock	10/15/2013		C		10,823	A	⁽⁵⁾	351,694	D⁽²⁾
Common Stock	10/15/2013		C		8,767	A	⁽⁶⁾	360,461	D⁽²⁾
Common Stock	10/15/2013		P		1,379	A	$15	361,840	D⁽²⁾
Common Stock	10/15/2013		C		247,695	A	⁽⁷⁾	247,695	D⁽⁸⁾

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series A-1 Preferred Stock	⁽³⁾	10/15/2013		C			142,032	⁽³⁾	⁽³⁾	Common Stock	142,032	$0	0	D⁽¹⁾
Series A-2 Preferred Stock	⁽⁴⁾	10/15/2013		C			1,755,912	⁽⁴⁾	⁽⁴⁾	Common Stock	1,755,912	$0	0	D⁽¹⁾
Series B Preferred Stock	⁽⁵⁾	10/15/2013		C			67,687	⁽⁵⁾	⁽⁵⁾	Common Stock	67,687	$0	0	D⁽¹⁾
Series C Preferred Stock	⁽⁶⁾	10/15/2013		C			54,817	⁽⁶⁾	⁽⁶⁾	Common Stock	54,817	$0	0	D⁽¹⁾
Series A-1 Preferred Stock	⁽³⁾	10/15/2013		C			22,710	⁽³⁾	⁽³⁾	Common Stock	22,710	$0	0	D⁽²⁾
Series A-2 Preferred Stock	⁽⁴⁾	10/15/2013		C			280,820	⁽⁴⁾	⁽⁴⁾	Common Stock	280,820	$0	0	D⁽²⁾
Series B Preferred Stock	⁽⁵⁾	10/15/2013		C			10,823	⁽⁵⁾	⁽⁵⁾	Common Stock	10,823	$0	0	D⁽²⁾
Series C Preferred Stock	⁽⁶⁾	10/15/2013		C			8,767	⁽⁶⁾	⁽⁶⁾	Common Stock	8,767	$0	0	D⁽²⁾
Convertible Notes	⁽⁷⁾	10/15/2013		C			247,695	⁽⁷⁾	04/25/2016⁽⁷⁾	Common Stock	247,695	$0	0	D⁽⁸⁾

1. Name and Address of Reporting Person^*

R CAPITAL TECHNOLOGIES FCPR

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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^*

R CAPITAL PRIVE TECHNOLOGIES FCPR

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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^*

R CAPITAL III FCPR

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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^*

R CAPITAL MANAGEMENT

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

750008

(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^*

REMY PIERRE

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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^*

Pujol Jerome

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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^*

BEGHIN JEAN-MICHEL

(Last)

(First)

(Middle)

64 RUE DE LISBONNE

(Street)

PARIS

75008

(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 R Capital Technologies FCPR ("RCT"). R Capital Management ("RCM") is the managing company of RCT. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of RCM and each of them may be deemed to have beneficial ownership of the shares held by RCT. Each of RCT and RCM are indirect, majority-owned subsidiaries of Paris Orleans SCA, a publicly-traded investment banking and asset management firm headquartered in Paris, France. Each of Pierre Remy, Jerome Pujol and Jean-Michel Beghin disclaim beneficial ownership of the Issuer's Common Stock held by the entities affiliated with Paris Orleans SCA.

2. Shares held directly by R Capital Prive Technologies FCPR ("RCPT"). R Capital Management ("RCM") is the managing company of RCPT. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of RCM and each of them may be deemed to have beneficial ownership of the shares held by RCPT. Each of RCPT and RCM are indirect, majority-owned subsidiaries of Paris Orleans SCA, a publicly-traded investment banking and asset management firm headquartered in Paris, France. Each of Pierre Remy, Jerome Pujol and Jean-Michel Beghin disclaim beneficial ownership of the Issuer's Common Stock held by the entities affiliated with Paris Orleans SCA.

3. 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.

4. 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.

5. The Series B Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.

6. The Series C Preferred Stock converted into the Issuer's Common Stock on a 6.75 for 1 basis and had no expiration date.

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.

8. The Convertible Notes are held directly by R Capital III FCPR ("R Capital III"). R Capital Management ("RCM") is the managing company of R Capital III. Mr. Pierre Remy, Mr. Jerome Pujol and Mr. Jean-Michel Beghin are the managing partners of RCM and each of them may be deemed to have beneficial ownership of the shares held by R Capital III. Each of R Capital III and RCM are indirect, majority-owned subsidiaries of Paris Orleans SCA, a publicly-traded investment banking and asset management firm headquartered in Paris, France. Each of Pierre Remy, Jerome Pujol and Jean-Michel Beghin disclaim beneficial ownership of the Issuer's Common Stock held by the entities affiliated with Paris Orleans SCA.

Remarks:

This Form 4 is one of two Forms 4 being filed by entities affiliated with Paris Orleans SCA with respect to the Common Stock of LDR Holding Corporation.

	/s/ Denise Cruz for R Capital Technologies FCPR	10/17/2013
	/s/ Denise Cruz for R Capital Prive Technologies FCPR	10/17/2013
	/s/ Denise Cruz for R Capital III FCPR	10/17/2013
	/s/ Denise Cruz for R Capital Management	10/17/2013
	/s/ Denise Cruz for Pierre Remy	10/17/2013
	/s/ Denise Cruz for Jerome Pujol	10/17/2013
	/s/ Denise Cruz for Jean-Michel Beghin	10/17/2013
	** Signature of Reporting Person	Date
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