SEC Form 4 · accession 0001639691-18-000125
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, 2018
Accepted (ET)
Dec 18, 2018 · 6:11 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 | 2,885 | $0.00 | A | 46,181 | D | |
| Ordinary SharesF2 | Dec 15, 2018 | F | 1,298 | $94.45 | D | 44,883 | D | |
| Ordinary SharesF4 | Dec 15, 2018 | S | 1,000 | $91.846 | D | 43,883 | D | |
| Ordinary Shares | 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 UnitsF1,F5 | — | Dec 15, 2018 | M | 2,885 | D | — | — | Ordinary Shares | 2,885 | 1,762 | 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.
- F3Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 24, 2017.
- F4Represents weighted average selling price. Securities sold through 8 separate sales on the transaction date at prices ranging from $91.28 to $93.22. 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.
- F5On December 15, 2017, reporting person was granted RSUs that vested and all forfeiture restrictions thereon lapsed on December 15, 2018.