K2M Group Holdings, Inc. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 30 rows, 30 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-05-28: Reporting owner Solomon Christopher; Form 3; Security Series A Preferred Stock; Transaction Holding.
- 2014-05-28: Reporting owner Solomon Christopher; Form 3; Security Series B Preferred Stock; Transaction Holding.
- 2014-05-13: Reporting owner Solomon Christopher; Form 4; Security Series A Preferred Stock; Transaction C Conversion of derivative security.
- 2014-05-13: Reporting owner Solomon Christopher; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-05-28 holding as of filing | Solomon Christopher 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · By Welsh, Carson, Anderson & Stowe XI, L.P. | Holding | no price filed | 2014-05-28 | ||
| 2014-05-28 holding as of filing | Solomon Christopher 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By Welsh, Carson, Anderson & Stowe XI, L.P. | Holding | no price filed | 2014-05-28 | ||
| 2014-05-13 | Solomon Christopher 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · By Welsh, Carson, Anderson & Stowe XI, L.P. | C Conversion of derivative security | −2,688,988 0 owned after | $0.00 | 2014-05-28 | |
| 2014-05-13 | Solomon Christopher 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Welsh, Carson, Anderson & Stowe XI, L.P. | C Conversion of derivative security | −2,205,208 0 owned after | $0.00 | 2014-05-28 | |
| 2014-05-13 | FERRER CARLOS A Director | 4 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −273,638 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | FERRER CARLOS A Director | 4 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −9,985 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | FERRER CARLOS A Director | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −197,760 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | FERRER CARLOS A Director | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −7,216 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | KOSTUIK JOHN PHILIP MD Director, Officer (Chief Medical Officer) | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −18,920 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | Major Eric D Director, Officer (President & CEO) | 4 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · By limited liability company | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −43,204 0 owned after | no price filed | 2014-05-15 | |
| 2014-05-13 | Scully Thomas | Donovan Michael | MACKESY D SCOTT | Welsh, Carson, Anderson & Stowe XI, L.P. | Lee Eric J. | REGAN BRIAN THOMAS | Ecock Anthony F | TRAYNOR SEAN | RATHER JONATHAN M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,688,988 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-13 | Scully Thomas | Donovan Michael | MACKESY D SCOTT | Welsh, Carson, Anderson & Stowe XI, L.P. | Lee Eric J. | REGAN BRIAN THOMAS | Ecock Anthony F | TRAYNOR SEAN | RATHER JONATHAN M 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,205,208 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-13 | CARSON RUSSELL L | SWANI SANJAY | WELSH PATRICK J | DENICOLA ANTHONY J | ANDERSON BRUCE K | QUAELLY PAUL B | Welsh, Carson, Anderson & Stowe XI, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,688,988 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-13 | CARSON RUSSELL L | SWANI SANJAY | WELSH PATRICK J | DENICOLA ANTHONY J | ANDERSON BRUCE K | QUAELLY PAUL B | Welsh, Carson, Anderson & Stowe XI, L.P. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,205,208 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-13 | WCAS MANAGEMENT CORP | RATHER JONATHAN M 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,219 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-13 | WCAS MANAGEMENT CORP | RATHER JONATHAN M 10% Owner | 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,670 0 owned after | $0.00 | 2014-05-14 | |
| 2014-05-07 holding as of filing | WCAS MANAGEMENT CORP | RATHER JONATHAN M 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | WCAS MANAGEMENT CORP | RATHER JONATHAN M 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | TRAYNOR SEAN | Donovan Michael | Scully Thomas | Lee Eric J. | MACKESY D SCOTT | RATHER JONATHAN M | Welsh, Carson, Anderson & Stowe XI, L.P. | Ecock Anthony F | REGAN BRIAN THOMAS Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | TRAYNOR SEAN | Donovan Michael | Scully Thomas | Lee Eric J. | MACKESY D SCOTT | RATHER JONATHAN M | Welsh, Carson, Anderson & Stowe XI, L.P. | Ecock Anthony F | REGAN BRIAN THOMAS Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | QUAELLY PAUL B | ANDERSON BRUCE K | Welsh, Carson, Anderson & Stowe XI, L.P. | WELSH PATRICK J | SWANI SANJAY | DENICOLA ANTHONY J | CARSON RUSSELL L Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | QUAELLY PAUL B | ANDERSON BRUCE K | Welsh, Carson, Anderson & Stowe XI, L.P. | WELSH PATRICK J | SWANI SANJAY | DENICOLA ANTHONY J | CARSON RUSSELL L Director, 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | FERRER CARLOS A Director | 3 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | FERRER CARLOS A Director | 3 | Series A Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | FERRER CARLOS A Director | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | FERRER CARLOS A Director | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | Major Eric D Director, Officer (President & CEO) | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | KOSTUIK JOHN PHILIP MD Director, Officer (Chief Medical Officer) | 3 | Series B Redeemable Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | BRODNAX BRETT Director | 3 | Series B Preferred Stock Derivative · Direct | Holding | no price filed | 2014-05-07 | ||
| 2014-05-07 holding as of filing | RANELLI RAY A Director | 3 | Series B Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2014-05-07 |