Form 4 for LIVN LivaNova PLC
Accepted 2021-12-17 00:00:00 ET · period of report 2021-12-15 · accession 0001639691-21-000120 · 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 | 2021-12-17 | 2021-12-15 | LIVN | Shvartsburg Alex | CFO | M - OptEx | $0.00 | +1,276 | 4,475 | +40% | $0 |
| DM | 2021-12-17 | 2021-12-15 | LIVN | Shvartsburg Alex | CFO | F - Tax | $80.39 | -601 | 4,186 | -13% | -$48.3K |
| DM | 2021-12-17 | 2021-12-15 | LIVN | Shvartsburg Alex | CFO | M - OptEx | $0.00 | -1,276 | 1,839 | -41% | $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 | Ordinary Shares | 2021-12-15 | M | A | 663 | $0.00 | 4,174 | D | — | — | (F1) Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value. |
| 2 | Common | Ordinary Shares | 2021-12-15 | F | D | 312 | $80.39 | 3,862 | D | — | — | (F2) The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability. |
| 3 | Common | Ordinary Shares | 2021-12-15 | M | A | 613 | $0.00 | 4,475 | D | — | — | (F1) Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value. |
| 4 | Common | Ordinary Shares | 2021-12-15 | F | D | 289 | $80.39 | 4,186 | D | — | — | (F2) The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability. |
| 5 | Derivative | Restricted Stock Units | 2021-12-15 | M | D | 663 | $0.00 | 0 | D | — · — to — | 663 Ordinary Shares | (F5) This number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant. (F3) Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement. (F4) On December 15, 2017, reporting person was granted RSUs subject to a four-year vesting schedule, the first vesting for which occurred on December 15, 2018. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement. |
| 6 | Derivative | Restricted Stock Units | 2021-12-15 | M | D | 613 | $0.00 | 1,839 | D | — · — to — | 613 Ordinary Shares | (F5) This number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant. (F3) Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement. (F6) On December 15, 2020, reporting person was granted RSUs subject to a four-year vesting schedule, the first vesting for which occurred on December 15, 2021. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement. |