Home > Insider Trading > Filing (0001144204-17-052690)

Filing Details

Accession Number:: 0001144204-17-052690
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-10-16 18:07:06
Reporting Period:: 2017-10-16

Accepted Time:: 2017-10-16 18:07:06
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1425450	Orthopediatrics Corp	KIDS	Surgical & Medical Instruments & Apparatus (3841)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1719217	R David Pelizzon	C/O Squadron Capital Llc 18 Hartford Ave., Po Box 223 Granby CT 06035		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-10-16	3,455,833	$0.00	3,458,379	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2017-10-16	1,920,062	$0.00	5,378,441	No	4	C	Indirect	See footnote
Common Stock	Acquisiton	2017-10-16	10,000	$13.00	10,000	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote
No	4	C	Indirect	See footnote
No	4	P	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Convertible Preferred Stock	Disposition	2017-10-16	1,000,000	$0.00	670,000	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2017-10-16	4,157,960	$0.00	2,785,833	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Indirect
0			No	4	C	Indirect

Footnotes

Represents shares received upon conversion of the Series A Convertible Preferred Stock and the Series B Convertible Preferred Stock immediately prior to the completion of the Issuer's initial public offering.
Represents shares received upon conversion of a $16.0 million preference payment, and approximately $8.96 million of accrued and unpaid dividends, on the Series A Convertible Preferred Stock immediately prior to the completion of the Issuer's initial public offering.
Represents shares that were purchased through a directed share program in connection with the Issuer's initial public offering.
Each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock converted into approximately 0.67 shares of Common Stock for no additional consideration immediately prior to the completion of the Issuer's initial public offering. In connection with the conversion of the Series A Convertible Preferred Stock into Common Stock, a $16.00 million preference payment, and approximately $8.96 million of accrued and unpaid dividends, on the Series A Convertible Preferred Stock converted into 1,920,062 shares of Common Stock for no additional consideration at a conversion price of $13.00 per share (the initial public offering price of the Common Stock).
These shares are held by Squadron Capital LLC ("Squadron"). As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these shares. The reporting person expressly disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.