SEC Form 4 · accession 0000905718-17-000343
Presbia PLC · LENS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerd Auffarth
Director
Period of report
Mar 8, 2017
Accepted (ET)
Mar 10, 2017 · 4:47 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001591096
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Mar 8, 2017 | X | 6,460 | $3.00 | A | 25,726 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (right to buy)F2 | $3.00 | Mar 8, 2017 | X | 19,269 | D | Feb 6, 2017 | Mar 8, 2017 | Ordinary Shares | 6,460 | 0 | D |
Explanation of responses
- F1On March 8, 2017, the Reporting Person delivered to the Issuer an irrevocable notice of exercise of his subscription rights to purchase 6,460 Ordinary Shares, together with payment of the requisite fee, pursuant to the rights offering set forth in the Prospectus filed pursuant to Rule 424(b)(4), filed with the SEC on January 27, 2017, as amended February 23, 2017.
- F2Each subscription right entitled its holder to purchase 0.335297256 Ordinary Shares at a subscription price of $3.00 per whole Ordinary Share.