SEC Form 4 · accession 0001639691-18-000087
LivaNova PLC · LIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas John Manko
Officer — Chief Accounting Officer
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 2:17 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 |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Aug 15, 2018 | M | 4,300 | $61.00 | A | 5,728 | D | |
| Ordinary Shares | Aug 15, 2018 | F | 2,160 | $121.48 | D | 3,568 | D | |
| Ordinary Shares | Aug 15, 2018 | F | 522 | $121.48 | D | 3,046 | D | |
| Ordinary SharesF3 | Aug 15, 2018 | S | 2,058 | $121.6116 | D | 988 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightsF4 | $61.00 | Aug 15, 2018 | M | 4,300 | D | — | — | Ordinary Shares | 4,300 | 19,462 | D |
Explanation of responses
- F1The referenced shares were withheld from distribution at the request of reporting person to pay option exercise price.
- F2The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.
- F3Represents weighted average selling price. Securities sold through 3 separate sales on the transaction date at prices ranging from $121.4769 to $121.6483. The reporting person hereby undertakes to provide upon request to the SEC, the issuer or any stockholder of the issuer, the full information regarding the number of shares and prices at which the transaction was effected.
- F4Reporting person was granted an award of stock appreciation rights ("SARs"), subject to the terms and conditions of the LivaNova PLC 2015 Incentive Award Plan (the "Plan") and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the four anniversaries of the grant date, August 5, 2016.