SEC Form 4 · accession 0000905718-17-000471
Presbia PLC · LENS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Zohar Loshitzer
Director
Period of report
Mar 8, 2017
Accepted (ET)
Apr 14, 2017 · 4:02 pm EDT
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 13, 2017 | A | 12,738 | $0.00 | A | 378,960 | D | |
| Ordinary SharesF2,F4 | Mar 8, 2017 | X | 502 | $3.00 | A | 2,002 | I | By Zohar Loshitzer Revocable Trust |
| Ordinary SharesF3,F4 | Mar 8, 2017 | X | 670 | $3.00 | A | 2,670 | I | By Dorothea Segal Loshitzer custodian for Oliver Loshitzer UTMA of California |
| Ordinary SharesF5,F4 | Mar 8, 2017 | X | 670 | $3.00 | A | 2,670 | I | By Dorothea Segal Loshitzer custodian for Daniel Loshitzer UTMA of California |
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)F6,F4 | $3.00 | Mar 8, 2017 | X | 1,498 | A | Feb 6, 2017 | Mar 8, 2017 | Ordinary Shares | 502 | 0 | I |
| Subscription Rights (Right to Buy)F6,F4 | $3.00 | Mar 8, 2017 | X | 1,999 | A | Feb 6, 2017 | Mar 8, 2017 | Ordinary Shares | 670 | 0 | I |
| Subscription Rights (Right to Buy)F6,F4 | $3.00 | Mar 8, 2017 | X | 1,999 | A | Feb 6, 2017 | Mar 8, 2017 | Ordinary Shares | 670 | 0 | I |
Explanation of responses
- F1On March 13, 2017, the Reporting Person was granted 12,738 restricted ordinary shares, which vest on March 13, 2018.
- F2On March 8, 2017, the Zohar Loshitzer Revocable Trust delivered to the Issuer an irrevocable notice of exercise of its subscription rights to purchase 502 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.
- F3On March 8, 2017, Dorothea Segal Loshitzer custodian for Oliver Loshitzer UTMA of California delivered to the Issuer an irrevocable notice of exercise of her subscription rights to purchase 670 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.
- F4The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F5On March 8, 2017, Dorothea Segal Loshitzer custodian for Daniel Loshitzer UTMA of California delivered to the Issuer an irrevocable notice of exercise of her subscription rights to purchase 670 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.
- F6Each subscription right entitled its holder to purchase 0.335297256 Ordinary Shares at a subscription price of $3.00 per whole Ordinary Share.