Form 4 for ESTA ESTABLISHMENT LABS HOLDINGS INC.
Accepted 2021-08-09 00:00:00 ET · period of report 2021-08-05 · accession 0001628280-21-016241 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2021-08-09 | 2021-08-05 | ESTA | Gersh Lisa | Dir | M - OptEx | $20.32 | +18.0K | 18.0K | New | +$365.8K |
| DM | 2021-08-09 | 2021-08-05 | ESTA | Gersh Lisa | Dir | S - Sale+OE | $70.56 | -18.0K | 0 | -100% | -$1.27M |
| DM | 2021-08-09 | 2021-08-05 | ESTA | Gersh Lisa | Dir | M - OptEx | $0.00 | -18.0K | 14.0K | -56% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Shares | 2021-08-05 | M | A | 10,000 | $18.14 | 10,000 | D | — | — | |
| 2 | Common | Common Shares | 2021-08-05 | M | A | 8,000 | $23.05 | 18,000 | D | — | — | |
| 3 | Common | Common Shares | 2021-08-05 | S | D | 12,758 | $70.27 | 5,242 | D | — | — | (F1) This transaction was executed in multiple trades at prices ranging from $70.0101 to $70.9900 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
| 4 | Common | Common Shares | 2021-08-05 | S | D | 5,242 | $71.27 | 0 | D | — | — | (F2) This transaction was executed in multiple trades at prices ranging from $71.0000 to $71.7850 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price. |
| 5 | Derivative | Stock Option (Right to buy) | 2021-08-05 | M | D | 10,000 | $0.00 | 22,000 | D | $18.14 · — to 2030-05-26 | 10,000 Common Shares | (F3) The shares subject to the option vested in full on the earlier of May 26, 2021 or the day prior to the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person continuing as a service provider through such date. |
| 6 | Derivative | Stock Option (Right to buy) | 2021-08-05 | M | D | 8,000 | $0.00 | 14,000 | D | $23.05 · — to 2029-06-03 | 8,000 Common Shares | (F4) One-third of the shares subject to the option shall vested on June 3, 2020 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date. |