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FERRER CARLOS A

Disclosed activity across 2 companies

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90010
SEC CIK
0001039931

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Reported relationships

Latest disclosed role at each company.

No relationships currently tracked through insider filings.

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

No balances currently tracked through insider filings.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

AdaptHealth Corp.

Report date June 11, 2024 · Filed June 12, 2024

Jointly reported with Peloton Equity GP, LLC

Section 16 reporting ended · disclosed 2024-06-12. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectBy Peloton Equity GP, LLC0 Reported balance After 2024-06-11 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2024-06-11 · Other · Disposed 2,027,496 · Balance 0

F1: On June 11, 2024, Peloton Equity GP, LLC ("Peloton Equity GP") distributed to its members, pro rata and without consideration, 2,027,496 shares of Common Stock. The aforementioned distribution was made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2: Shares held by Peloton Equity GP. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On June 11, 2024, Peloton Equity GP, LLC ("Peloton Equity GP") distributed to its members, pro rata and without consideration, 2,027,496 shares of Common Stock. The aforementioned distribution was made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2: Shares held by Peloton Equity GP. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

K2M GROUP HOLDINGS, INC.

Report date November 09, 2018 · Filed November 14, 2018

Section 16 reporting ended · disclosed 2018-11-14. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Ending reported balance After 2018-11-09 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2018-11-09 · Disposition to issuer · Disposed 72,846 · Balance 5,451

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F2: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $27.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

Row 2 · 2018-11-09 · Disposition to issuer · Disposed 5,451 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F3: Reflects shares of restricted stock.

F4: Each Issuer restricted stock award ("RSA"), whether vested or unvested, outstanding immediately prior to the Effective Time was cancelled and entitled the holder of such RSA, as applicable, to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to such award multiplied by (ii) the Merger Consideration, less any applicable withholding taxes.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2024-05-07Direct0 Reported balance After 2018-11-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2018-11-09 · Disposition to issuer · Disposed 14,404 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F5: These options were fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.46 · Expires 2025-07-01Direct0 Reported balance After 2018-11-09 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-11-09 · Disposition to issuer · Disposed 10,500 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F5: These options were fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.38 · Expires 2026-06-14Direct0 Reported balance After 2018-11-09 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-11-09 · Disposition to issuer · Disposed 10,268 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F7: These options were to ratably vest over a three year period beginning on June 14, 2017.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.81 · Expires 2027-06-05Direct0 Reported balance After 2018-11-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2018-11-09 · Disposition to issuer · Disposed 6,655 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F8: These options were to ratably vest over a three year period beginning on June 6, 2018.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.59 · Expires 2028-06-04Direct0 Reported balance After 2018-11-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2018-11-09 · Disposition to issuer · Disposed 5,727 · Balance 0

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F9: These options were to ratably vest over a three year period beginning on June 5, 2019.

Filing footnotes · ownership attribution and instrument terms

F1: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F2: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $27.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

F3: Reflects shares of restricted stock.

F4: Each Issuer restricted stock award ("RSA"), whether vested or unvested, outstanding immediately prior to the Effective Time was cancelled and entitled the holder of such RSA, as applicable, to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to such award multiplied by (ii) the Merger Consideration, less any applicable withholding taxes.

F5: These options were fully vested.

F6: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F7: These options were to ratably vest over a three year period beginning on June 14, 2017.

F8: These options were to ratably vest over a three year period beginning on June 6, 2018.

F9: These options were to ratably vest over a three year period beginning on June 5, 2019.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
June 11, 2024 Filed Jun 12, 2024 08:30 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 2,027,496 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-24-072261 · ownership.xml · nonDerivative · entry 1

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity GP, LLC

Disclosed balance after: 0

F1 · kind: On June 11, 2024, Peloton Equity GP, LLC ("Peloton Equity GP") distributed to its members, pro rata and without consideration, 2,027,496 shares of Common Stock. The aforementioned distribution was made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On June 11, 2024, Peloton Equity GP, LLC ("Peloton Equity GP") distributed to its members, pro rata and without consideration, 2,027,496 shares of Common Stock. The aforementioned distribution was made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.nature: Shares held by Peloton Equity GP. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
December 12, 2023 Filed Dec 13, 2023 08:30 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 714,055 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-069887 · ownership.xml · nonDerivative · entry 3

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity I, L.P.

Disclosed balance after: 0

F1 · kind: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F4 · ownership.nature: Shares held by Peloton Equity I. Peloton Equity GP is the general partner of Peloton Equity I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
December 12, 2023 Filed Dec 13, 2023 08:30 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 211,449 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-069887 · ownership.xml · nonDerivative · entry 2

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity AeroCare SPV II, L.P.

Disclosed balance after: 0

F1 · kind: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F3 · ownership.nature: Shares held by Peloton AeroCare II. Peloton Equity GP is the general partner of Peloton AeroCare II. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
December 12, 2023 Filed Dec 13, 2023 08:30 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 2,220,277 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-069887 · ownership.xml · nonDerivative · entry 1

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On December 12, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,277 shares, 211,449 shares and 714,055 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.direct: Shares held by Peloton AeroCare I. Peloton Equity GP, LLC ("Peloton Equity GP") is the general partner of Peloton AeroCare I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 10, 2023 Filed Aug 11, 2023 09:15 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 714,054 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-018010 · doc4.xml · nonDerivative · entry 3

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity I, L.P.

Disclosed balance after: 714,055

F1 · kind: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F5 · ownership.nature: Shares held by Peloton Equity I. Peloton Equity GP is the general partner of Peloton Equity I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 10, 2023 Filed Aug 11, 2023 09:15 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 211,449 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-018010 · doc4.xml · nonDerivative · entry 2

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity AeroCare SPV II, L.P.

Disclosed balance after: 211,449

F1 · kind: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F4 · ownership.nature: Shares held by Peloton AeroCare II. Peloton Equity GP is the general partner of Peloton AeroCare II. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
August 10, 2023 Filed Aug 11, 2023 09:15 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 2,220,278 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-018010 · doc4.xml · nonDerivative · entry 1

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,220,277

F1 · kind: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On August 10, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · balance_after: Number of securities reported reflects the correction of a typographical error in previous Section 16 reports filed by the Reporting Persons, which unintentionally overreported the number of shares of Common Stock held by Peloton AeroCare I by 20,000 shares.

F3 · ownership.direct: Shares held by Peloton AeroCare I. Peloton Equity GP, LLC ("Peloton Equity GP") is the general partner of Peloton AeroCare I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

Read SEC document
May 15, 2023 Filed May 16, 2023 08:00 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 714,054 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-013036 · doc4.xml · nonDerivative · entry 3

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity I, L.P.

Disclosed balance after: 1,428,109

F1 · kind: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F4 · ownership.nature: Shares held by Peloton Equity I. Peloton Equity GP is the general partner of Peloton Equity I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

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May 15, 2023 Filed May 16, 2023 08:00 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 211,449 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-013036 · doc4.xml · nonDerivative · entry 2

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · By Peloton Equity AeroCare SPV II, L.P.

Disclosed balance after: 422,898

F1 · kind: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F3 · ownership.nature: Shares held by Peloton AeroCare II. Peloton Equity GP is the general partner of Peloton AeroCare II. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

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May 15, 2023 Filed May 16, 2023 08:00 UTC AdaptHealth Corp. AHCO · Entity 5183 OtherCommon Stock 2,220,278 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-23-013036 · doc4.xml · nonDerivative · entry 1

Peloton Equity AeroCare SPV I, L.P. · CIK 0001669706 · Director

Peloton Equity AeroCare SPV II, L.P. · CIK 0001669705 · Director

Peloton Equity I, L.P. · CIK 0001614272 · Director

Peloton Equity GP, LLC · CIK 0001841966 · Director

FERRER CARLOS A · CIK 0001039931 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,460,555

F1 · kind: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F1 · price: On May 15, 2023, each of Peloton AeroCare SPV I, L.P. ("Peloton AeroCare I"), Peloton AeroCare SPV II, L.P. ("Peloton AeroCare II") and Peloton Equity I, L.P. ("Peloton Equity I") distributed to their limited partners, pro rata and without consideration, 2,220,278 shares, 211,449 shares and 714,054 shares, respectively, of Common Stock. The aforementioned distributions were made in accordance with the exemptions afforded under Rule 16a-9(a) and Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "Exchange Act").

F2 · ownership.direct: Shares held by Peloton AeroCare I. Peloton Equity GP, LLC ("Peloton Equity GP") is the general partner of Peloton AeroCare I. Carlos Ferrer and Theodore B. Lundberg are the managing members of Peloton Equity GP. Each of the Reporting Persons disclaims beneficial ownership of such shares except to the extent of his or its pecuniary interest therein, if any.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerStock Option (Right to Buy) · Derivative 5,727 Not disclosed Strike: $23.59 Not disclosed
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · derivative · entry 7

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,727 shares

Expires 2028-06-04

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6 · price: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F9 · derivative.exercise_date: These options were to ratably vest over a three year period beginning on June 5, 2019.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerStock Option (Right to Buy) · Derivative 6,655 Not disclosed Strike: $22.81 Not disclosed
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · derivative · entry 6

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,655 shares

Expires 2027-06-05

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6 · price: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F8 · derivative.exercise_date: These options were to ratably vest over a three year period beginning on June 6, 2018.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerStock Option (Right to Buy) · Derivative 10,268 Not disclosed Strike: $14.38 Not disclosed
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · derivative · entry 5

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,268 shares

Expires 2026-06-14

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6 · price: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: These options were to ratably vest over a three year period beginning on June 14, 2017.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerStock Option (Right to Buy) · Derivative 10,500 Not disclosed Strike: $23.46 Not disclosed
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · derivative · entry 4

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,500 shares

Expires 2025-07-01

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6 · price: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F5 · derivative.exercise_date: These options were fully vested.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerStock Option (Right to Buy) · Derivative 14,404 Not disclosed Strike: $15.00 Not disclosed
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · derivative · entry 3

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,404 shares

Expires 2024-05-07

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F6 · price: At the Effective Time, each stock option, whether vested or unvested, outstanding immediately before the Effective Time was cancelled and entitled the holder of such option to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to the stock option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price of such stock option, less any applicable withholding taxes.

F5 · derivative.exercise_date: These options were fully vested.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerCommon Stock 5,451 $27.50 $149,902.50
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · nonDerivative · entry 2

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F3 · shares: Reflects shares of restricted stock.

F4 · price: Each Issuer restricted stock award ("RSA"), whether vested or unvested, outstanding immediately prior to the Effective Time was cancelled and entitled the holder of such RSA, as applicable, to receive, without interest, an amount in cash equal to the product of (i) the total number of shares of Issuer common stock subject to such award multiplied by (ii) the Merger Consideration, less any applicable withholding taxes.

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November 09, 2018 Filed Nov 14, 2018 16:51 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 Disposition to issuerCommon Stock 72,846 $27.50 $2,003,265.00
Disclosure

SEC source: 0001499807-18-000142 · wf-form4_154223224373315.xml · nonDerivative · entry 1

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,451

F1 · kind: On November 9, 2018, Stryker Corporation, a Michigan corporation ("Parent"), acquired the Issuer pursuant to that certain Agreement and Plan of Merger entered into by and among the Issuer, Parent and Austin Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Parent ("Merger Sub"), dated as of August 29, 2018 (the "Merger Agreement"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer, with the Issuer surviving such merger as a wholly-owned subsidiary of Parent (the "Merger").

F2 · price: At the effective time of the Merger (the "Effective Time"), each outstanding share of the Issuer's common stock (other than certain excluded shares) automatically converted into the right to receive $27.50 in cash, without interest and less any applicable withholding taxes (the "Merger Consideration").

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June 05, 2018 Filed Jun 7, 2018 19:40 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 GrantStock Option (Right to Buy) · Derivative 5,727 $0.00 Strike: $23.59 $0.00
Disclosure

SEC source: 0001499807-18-000054 · wf-form4_152841481230970.xml · derivative · entry 2

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,727

Underlying: Common Stock · 5,727 shares

Expires 2028-06-04

F2 · derivative.exercise_date: An option which vests in three equal installments on June 5, 2019, June 5, 2020 and June 5, 2021.

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June 05, 2018 Filed Jun 7, 2018 19:40 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 GrantCommon Stock 2,437 $0.00 $0.00
Disclosure

SEC source: 0001499807-18-000054 · wf-form4_152841481230970.xml · nonDerivative · entry 1

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,297

F1 · kind: Reflects a grant of restricted stock which vests in three equal installments on June 5, 2019, June 5, 2020, and June 5, 2021.

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June 06, 2017 Filed Jun 8, 2017 19:47 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 GrantStock Option (Right to Buy) · Derivative 6,655 $0.00 Strike: $22.81 $0.00
Disclosure

SEC source: 0001499807-17-000072 · wf-form4_149696564952569.xml · derivative · entry 4

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,655

Underlying: Common Stock · 6,655 shares

Expires 2027-06-05

F5 · derivative.exercise_date: An option which vests in three equal installments on June 6, 2018, June 6, 2019 and June 6, 2020.

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June 06, 2017 Filed Jun 8, 2017 19:47 UTC K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 GrantCommon Stock 2,521 $0.00 $0.00
Disclosure

SEC source: 0001499807-17-000072 · wf-form4_149696564952569.xml · nonDerivative · entry 3

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,902

F4 · kind: Reflects a grant of restricted stock which vests in three equal installments on June 6, 2018, June 6, 2019, and June 6, 2020.

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June 06, 2017 Filed Jun 12, 2017 19:11 UTC Amendment K2M GROUP HOLDINGS, INC. KTWO · Entity 162444 GrantCommon Stock 2,521 $0.00 $0.00
Disclosure

SEC source: 0001499807-17-000078 · wf-form4a_149730906151505.xml · nonDerivative · entry 1

FERRER CARLOS A · CIK 0001039931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,860

F1 · kind: Reflects a grant of restricted stock which vests in three equal installments on June 6, 2018, June 6, 2019, and June 6, 2020.

F2 · balance_after: This amount includes 9,958 shares of Issuer common stock previously reported as being indirectly beneficially owned by the Reporting Person through FFC Partners III-B, L.P. ("FFC III-B) and FFC Executive Partners III, L.P. ("FFC EP III"). The Reporting Person, a limited partner of each of FFC III-B and FFC EP III, acquired direct ownership of such shares in connection with a pro rata distribution by each of FFC III-B and FFC EP III of all shares of Issuer common stock previously held by them. The acquisitions were exempt pursuant to Rules 16a-9 and 16a-13 under the Securities Exchange Act of 1934, as amended.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.