Form 4 for LIVN LivaNova PLC
Accepted 2024-03-04 00:00:00 ET · period of report 2024-02-29 · accession 0001639691-24-000028 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-03-04 | 2024-02-29 | LIVN | KOZY WILLIAM A | COB, CEO, Dir | M - OptEx | $0.00 | +14.5K | 32.3K | +81% | $0 |
| D | 2024-03-04 | 2024-02-29 | LIVN | KOZY WILLIAM A | COB, CEO, Dir | F - Tax | $54.81 | -4,871 | 27.5K | -15% | -$267.0K |
| D | 2024-03-04 | 2024-02-29 | LIVN | KOZY WILLIAM A | COB, CEO, Dir | M - OptEx | $54.81 | -14.5K | 0 | -100% | -$795.4K |
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 | 2024-02-29 | M | A | 14,512 | $0.00 | 32,333 | 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 | 2024-02-29 | F | D | 4,871 | $54.81 | 27,462 | D | — | — | (F2) The referenced shares were withheld from distribution to satisfy tax liability. |
| 3 | Derivative | Restricted Stock Units | 2024-02-29 | M | D | 14,512 | $54.81 | 0 | D | — · — to — | 14,512 Ordinary Shares | (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 2022 Incentive Award Plan (the 2022 Plan) and the award agreement. (F4) On December 15, 2023, reporting person was granted RSUs to vest and forfeiture restrictions thereon to lapse upon the earlier of (i) the commencement of employment of a successor Chief Executive Officer and (ii) April 13, 2024, subject to Mr. Kozy's continued employment through such vesting date. |