SEC Form 4/A · accession 0001639691-18-000022
LivaNova PLC · LIVN
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
David S Wise
Officer — Chief Administrative Officer
Period of report
Mar 11, 2018
Accepted (ET)
Mar 13, 2018 · 9:57 am 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 |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Mar 11, 2018 | M | 5,208 | $0.00 | A | 45,048 | D | |
| Ordinary SharesF1 | Mar 11, 2018 | F | 1,226 | $87.55 | D | 43,822 | 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 UnitsF2,F3 | — | Mar 11, 2018 | M | 5,208 | A | — | Mar 11, 2020 | Common Stock | 5,208 | 27,015 | D |
Explanation of responses
- F1Form 4 amended to correct the number of securities beneficially owned following reported transaction(s). Incorrect number shown on initial Form 4.
- F2Each RSU represents a contingent right to receive one ordinary share (Ordinary Share) of LivaNova PLC (the Company), GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan).
- F3The reporting person was granted RSUs subject to a four-year vesting schedule, vesting 20%, each, on March 11, 2017, March 11, 2018 and March 11, 2019, and 40% on March 11, 2020. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan.