SEC Form 4 · accession 0001639691-17-000103
LivaNova PLC · LIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Jeffrey Moore
Director
Period of report
Dec 15, 2017
Accepted (ET)
Dec 19, 2017 · 4:46 pm EST
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 Stock | Dec 15, 2017 | S | 1,000 | $80.80 | D | 54,296 | D | |
| Common Stock | holding | — | — | — | 2,586 | I | DJM Family Partnership Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2,F3 | — | Dec 15, 2017 | A | 2,885 | A | — | — | Common Stock | 2,885 | 2,885 | D |
Explanation of responses
- F1Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on August 16, 2016.
- F2Each restricted stock unit ("RSU") represents a contingent right to receive one ordinary share ("Ordinary Share") of LivaNova PLC (the "Company") or, at the option of the Company, a cash settlement in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan.
- F3The reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on December 15, 2018. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan.