SEC Form 4/A · accession 0000905718-18-000389
Presbia PLC · LENS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Richard S Ressler
Director · 10% Owner
Period of report
Mar 8, 2017
Accepted (ET)
Apr 13, 2018 · 5:19 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 8, 2017 | X | 1,065,852 | $3.00 | A | 4,250,821 | 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)F1 | $3.00 | Mar 8, 2017 | X | — | D | Feb 6, 2017 | Mar 8, 2017 | Ordinary Shares | — | 0 | D |
Explanation of responses
- F1The amendment to the original Form 4 filed on March 10, 2017, is being filed to correct the number of subscription rights exercised and Ordinary Shares received. On March 8, 2017, the Reporting Person delivered to the Issuer an irrevocable notice of exercise of his subscription rights to purchase 1,067,393 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 (the "Prospectus"). Each subscription right entitled its holder to purchase 0.335297256 Ordinary Shares at a subscription price of $3.00 per whole Ordinary Share.