SEC Form 4 · accession 0001639691-17-000077
LivaNova PLC · LIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur L Rosenthal
Director
Period of report
Aug 5, 2017
Accepted (ET)
Aug 8, 2017 · 7:55 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001639691
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 5, 2017 | M | 3,327 | $0.00 | A | 18,592 | D | |
| Common StockF2 | Aug 5, 2017 | F | 1,497 | $60.41 | D | 17,095 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Aug 5, 2017 | M | 3,327 | D | — | — | Common Stock | 3,327 | 0 | D |
Explanation of responses
- F1Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.
- F2The referenced shares were withheld from distribution at the request of reporting person. Such shares were forfeited and the associated value was used to offset the tax liability associated with the August 5, 2017 vesting of 3,327 RSUs.
- F3On August 5, 2016, reporting person was granted RSUs that vested and all forfeiture restrictions thereon lapsed on August 5, 2017.