SEC Form 4 · accession 0001639691-18-000120
LivaNova PLC · LIVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alfred J Novak
Director
Period of report
Dec 15, 2018
Accepted (ET)
Dec 18, 2018 · 4:24 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 |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Dec 15, 2018 | M | 1,715 | $0.00 | A | 11,065 | D | |
| Ordinary SharesF2 | Dec 15, 2018 | F | 771 | $94.45 | D | 10,294 | 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 | — | Dec 15, 2018 | M | 1,715 | D | — | — | Ordinary Shares | 1,715 | 1,048 | 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 to satisfy tax liability.
- F3On December 15, 2017, reporting person was granted RSUs that vested and all forfeiture restrictions thereon lapsed on December 15, 2018.