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Nasdaq · USD

LIVN

LivaNova PLC

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507
SEC CIK
0001639691
Parsed reports
465

Last 12 months

Inside the activity.

0 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202501
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202601
Jun 202601
Jul 202600
Aug 202602
Sep 202602
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 05, 2018 Filed Aug 7, 2018 20:44 UTC
Manko Douglas JohnChief Accounting Officer
Exercise / conversionOrdinary Shares 604 Not disclosed Not disclosed
Disclosure

SEC source: 0001639691-18-000085 · wf-form4_153368907499901.xml · nonDerivative · entry 1

Manko Douglas John · CIK 0001445438 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,575

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

Read SEC document
July 16, 2018 Filed Jul 18, 2018 15:27 UTC SaleOrdinary Shares 1,000 $102.19 $102,191.00
Disclosure

SEC source: 0001639691-18-000077 · wf-form4_153194204887549.xml · nonDerivative · entry 1

Moore Daniel Jeffrey · CIK 0001400857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,296

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 24, 2017.

F2 · price: Represents weighted average selling price. Securities sold in 2 separate sales on the transaction date at prices ranging from $101.48 to $102.27. 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.

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July 16, 2018 Filed Jul 18, 2018 15:30 UTC
WISE DAVID SChief Administrative Officer
SaleOrdinary Shares 1,500 $102.04 $153,062.85
Disclosure

SEC source: 0001639691-18-000078 · wf-form4_153194222119382.xml · nonDerivative · entry 1

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,929

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 29, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 15 separate sales on the transaction date at prices ranging from $100.98 to $102.73. 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.

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June 15, 2018 Filed Jun 18, 2018 21:13 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000067 · wf-form4_152935637043770.xml · derivative · entry 2

Novak Alfred J · CIK 0001388862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F3 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

F3 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 16:30 UTC GrantRestricted Stock Units · Derivative 1,762 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000074 · wf-form4_152944018933731.xml · derivative · entry 2

Moore Daniel Jeffrey · CIK 0001400857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,647

Underlying: Ordinary Shares · 1,762 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

F4 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 16:30 UTC SaleOrdinary Shares 1,000 $104.95 $104,950.00
Disclosure

SEC source: 0001639691-18-000074 · wf-form4_152944018933731.xml · nonDerivative · entry 1

Moore Daniel Jeffrey · CIK 0001400857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,296

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 24, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 10 separate sales on the transaction date at prices ranging from $104.46 to $105.20. 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.

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June 15, 2018 Filed Jun 19, 2018 16:16 UTC
WISE DAVID SChief Administrative Officer
SaleOrdinary Shares 1,500 $104.46 $156,697.05
Disclosure

SEC source: 0001639691-18-000069 · wf-form4_152943939803041.xml · nonDerivative · entry 1

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,429

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 29, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 15 separate sales on the transaction date at prices ranging from $103.945 to $104.95. 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.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 20:32 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000075 · wf-form4_152944030429791.xml · derivative · entry 1

KOZY WILLIAM A · CIK 0001221785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,048

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 16:21 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000071 · wf-form4_152943965632177.xml · derivative · entry 1

MORRISON HUGH M · CIK 0001194337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 16:23 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000072 · wf-form4_152943978647682.xml · derivative · entry 1

ROSENTHAL ARTHUR L · CIK 0001388872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 20:28 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000073 · wf-form4_152944008891509.xml · derivative · entry 1

Saia Andrea Lynn · CIK 0001552993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 20:33 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000076 · wf-form4_152944040472469.xml · derivative · entry 1

Bianchi Francesco · CIK 0001656080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan and the award agreement.

Read SEC document
June 15, 2018 Filed Jun 19, 2018 20:19 UTC GrantRestricted Stock Units · Derivative 1,048 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000070 · wf-form4_152943954008734.xml · derivative · entry 1

O'Kane Sharon · CIK 0001655980 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763

Underlying: Ordinary Shares · 1,048 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

F2 · derivative.expiration_date: Reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on June 15, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 21:13 UTC SaleOrdinary Shares 1,000 $104.43 $104,431.00
Disclosure

SEC source: 0001639691-18-000067 · wf-form4_152935637043770.xml · nonDerivative · entry 1

Novak Alfred J · CIK 0001388862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,850

F1 · price: Represents weighted average selling price. Securities sold through approximately 2 separate sales on the transaction date at prices ranging from $104.42 to $104.53. 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.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 15:07 UTC Exercise / conversionRestricted Stock Units · Derivative 1,147 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000064 · wf-form4_152900324787515.xml · derivative · entry 3

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,952

Underlying: Ordinary Shares · 1,147 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the next four anniversaries of June 12, 2017, subject to continued service during the vesting period.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the next four anniversaries of June 12, 2017, subject to continued service during the vesting period.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 15:07 UTC Tax withholdingOrdinary Shares 539 $103.27 $55,662.53
Disclosure

SEC source: 0001639691-18-000064 · wf-form4_152900324787515.xml · nonDerivative · entry 2

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

Read SEC document
June 12, 2018 Filed Jun 14, 2018 15:07 UTC Exercise / conversionOrdinary Shares 1,147 Not disclosed Not disclosed
Disclosure

SEC source: 0001639691-18-000064 · wf-form4_152900324787515.xml · nonDerivative · entry 1

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,147

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 20:18 UTC Exercise / conversionStock Appreciation Rights · Derivative 43,557 $0.00 Strike: $44.79 $0.00
Disclosure

SEC source: 0001639691-18-000062 · wf-form4_152883466797048.xml · derivative · entry 3

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,182

Underlying: Ordinary Shares · 43,557 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the LivaNova PLC 2015 Incentive Award Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the four anniversaries of the grant date, November 4, 2016.

F2 · derivative.expiration_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the LivaNova PLC 2015 Incentive Award Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the four anniversaries of the grant date, November 4, 2016.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 20:18 UTC SaleOrdinary Shares 15,742 $96.51 $1,519,221.07
Disclosure

SEC source: 0001639691-18-000062 · wf-form4_152883466797048.xml · nonDerivative · entry 2

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,682

F1 · price: Represents weighted average selling price. Securities sold through approximately 188 separate sales on the transaction date at prices ranging from $96.09 to $97.07. 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.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 20:18 UTC Exercise / conversionOrdinary Shares 43,557 $44.79 $1,950,918.03
Disclosure

SEC source: 0001639691-18-000062 · wf-form4_152883466797048.xml · nonDerivative · entry 1

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,424

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 08, 2018 Filed Jun 12, 2018 16:21 UTC SaleCommon Stock 1,000 $97.01 $97,013.20
Disclosure

SEC source: 0001639691-18-000063 · wf-form4_152883485138307.xml · nonDerivative · entry 1

MORRISON HUGH M · CIK 0001194337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

F1 · price: Represents weighted average selling price. Securities sold through approximately 3 separate sales on the transaction date at prices ranging from $96.9818 to $97.03. 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.

Read SEC document
June 08, 2018 Filed Nov 6, 2020 23:33 UTC Amendment Tax withholdingOrdinary Shares 7,719 $97.08 $749,360.52
Disclosure

SEC source: 0001639691-20-000114 · wf-form4a_160470557943475.xml · nonDerivative · entry 2

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,867

F1 · shares: This Form 4 is being amended to report withholding transactions that were inadvertently omitted from the original Form 4 filed upon exercise and subsequent sale of SARs. The number of shares acquired upon exercise and the number subsequently sold were correctly reported on the original Form 4.

F3 · shares: The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

Read SEC document
June 08, 2018 Filed Nov 6, 2020 23:33 UTC Amendment Tax withholdingOrdinary Shares 20,096 $97.08 $1,950,919.68
Disclosure

SEC source: 0001639691-20-000114 · wf-form4a_160470557943475.xml · nonDerivative · entry 1

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,586

F1 · shares: This Form 4 is being amended to report withholding transactions that were inadvertently omitted from the original Form 4 filed upon exercise and subsequent sale of SARs. The number of shares acquired upon exercise and the number subsequently sold were correctly reported on the original Form 4.

F2 · shares: The referenced shares were withheld from distribution for option cost at the request of reporting person.

Read SEC document
May 31, 2018 Filed Jun 4, 2018 20:47 UTC SaleOrdinary Shares 11,136 $89.90 $1,001,126.40
Disclosure

SEC source: 0001639691-18-000061 · wf-form4_152814524698094.xml · nonDerivative · entry 1

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,867

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on March 15, 2018.

Read SEC document
May 23, 2018 Filed May 25, 2018 18:46 UTC SaleCommon Stock 1,830 $83.81 $153,377.97
Disclosure

SEC source: 0001639691-18-000054 · wf-form4_152727395530025.xml · nonDerivative · entry 1

Bianchi Francesco · CIK 0001656080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
May 23, 2018 Filed May 25, 2018 18:44 UTC
Huston Thad AllenChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 9,907 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000053 · wf-form4_152727387760472.xml · derivative · entry 3

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,583

Underlying: Restricted Stock Units · 9,907 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 23, 2017, subject to continued service during the vesting period.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 23, 2017, subject to continued service during the vesting period.

Read SEC document
May 23, 2018 Filed May 25, 2018 18:44 UTC
Huston Thad AllenChief Financial Officer
Tax withholdingOrdinary Shares 4,656 $83.95 $390,871.20
Disclosure

SEC source: 0001639691-18-000053 · wf-form4_152727387760472.xml · nonDerivative · entry 2

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,633

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person. Such shares were forfeited and the associated value was used to offset the tax liability associated with the May 23, 2018 vesting of 9,907 RSUs.

Read SEC document
May 23, 2018 Filed May 25, 2018 18:44 UTC
Huston Thad AllenChief Financial Officer
Exercise / conversionOrdinary Shares 9,907 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000053 · wf-form4_152727387760472.xml · nonDerivative · entry 1

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,289

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

Read SEC document
May 20, 2018 Filed May 22, 2018 20:14 UTC
Huston Thad AllenChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 1,595 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000050 · wf-form4_152702005749559.xml · derivative · entry 3

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,490

Underlying: Restricted Stock Units · 1,595 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 20, 2017, subject to continued service during the vesting period.

F4 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 20, 2017, subject to continued service during the vesting period.

Read SEC document
May 20, 2018 Filed May 22, 2018 20:14 UTC
Huston Thad AllenChief Financial Officer
Tax withholdingOrdinary Shares 749 $83.86 $62,811.14
Disclosure

SEC source: 0001639691-18-000050 · wf-form4_152702005749559.xml · nonDerivative · entry 2

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,382

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person. Such shares were forfeited and the associated value was used to offset the tax liability associated with the May 20, 2018 vesting of 1,595 RSUs.

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May 20, 2018 Filed May 22, 2018 20:14 UTC
Huston Thad AllenChief Financial Officer
Exercise / conversionOrdinary Shares 1,595 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000050 · wf-form4_152702005749559.xml · nonDerivative · entry 1

Huston Thad Allen · CIK 0001706052 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,131

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

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May 15, 2018 Filed May 17, 2018 12:38 UTC SaleCommon Stock 1,000 $84.66 $84,660.00
Disclosure

SEC source: 0001639691-18-000048 · wf-form4_152657507468236.xml · nonDerivative · entry 1

Moore Daniel Jeffrey · CIK 0001400857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,296

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 24, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 11 separate sales on the transaction date at prices ranging from $84.57 to $84.67. 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.

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May 15, 2018 Filed May 17, 2018 12:41 UTC
WISE DAVID SChief Administrative Officer
SaleOrdinary Shares 1,500 $84.48 $126,718.20
Disclosure

SEC source: 0001639691-18-000049 · wf-form4_152657526326876.xml · nonDerivative · entry 1

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,929

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person November 29, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 16 separate sales on the transaction date at prices ranging from $84.23 to $84.71. 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.

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May 09, 2018 Filed May 11, 2018 14:07 UTC SaleOrdinary Shares 1,000 $84.02 $84,016.40
Disclosure

SEC source: 0001639691-18-000047 · wf-form4_152604758922692.xml · nonDerivative · entry 1

Novak Alfred J · CIK 0001388862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,850

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May 05, 2018 Filed May 8, 2018 15:26 UTC Exercise / conversionRestricted Stock Units · Derivative 4,451 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000045 · wf-form4_152579315431823.xml · derivative · entry 3

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,829

Underlying: Restricted Stock Units · 4,451 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: On May 5, 2017, reporting person was granted 17,803 RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period.

F4 · derivative.expiration_date: On May 5, 2017, reporting person was granted 17,803 RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period.

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May 05, 2018 Filed May 8, 2018 15:26 UTC Tax withholdingOrdinary Shares 1,464 $83.57 $122,346.48
Disclosure

SEC source: 0001639691-18-000045 · wf-form4_152579315431823.xml · nonDerivative · entry 2

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,003

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person. Such shares were forfeited and the associated value was used to offset the tax liability associated with the May 5, 2018 vesting of 4,451 RSUs.

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May 05, 2018 Filed May 8, 2018 15:26 UTC GrantOrdinary Shares 4,451 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000045 · wf-form4_152579315431823.xml · nonDerivative · entry 1

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,467

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

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May 05, 2018 Filed May 8, 2018 11:28 UTC
WISE DAVID SChief Administrative Officer
Exercise / conversionRestricted Stock Units · Derivative 877 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000046 · wf-form4_152579327146200.xml · derivative · entry 3

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,840

Underlying: Restricted Stock Units · 877 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of the Company, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

F4 · derivative.exercise_date: On May 5,2017, reporting person was granted 3,505 RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period.

F4 · derivative.expiration_date: On May 5,2017, reporting person was granted 3,505 RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of May 5, 2017, subject to continued service during the vesting period.

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May 05, 2018 Filed May 8, 2018 11:28 UTC
WISE DAVID SChief Administrative Officer
Tax withholdingOrdinary Shares 270 $83.57 $22,563.90
Disclosure

SEC source: 0001639691-18-000046 · wf-form4_152579327146200.xml · nonDerivative · entry 2

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,429

F2 · shares: The referenced shares were withheld from distribution at the request of reporting person. Such shares were forfeited and the associated value was used to offset the tax liability associated with the May 5,2018 vesting of 877 RSUs.

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May 05, 2018 Filed May 8, 2018 11:28 UTC
WISE DAVID SChief Administrative Officer
Exercise / conversionOrdinary Shares 877 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000046 · wf-form4_152579327146200.xml · nonDerivative · entry 1

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,699

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Reporting person had vested restricted stock units (RSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

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April 16, 2018 Filed Apr 17, 2018 21:48 UTC SaleCommon Stock 1,000 $86.24 $86,240.00
Disclosure

SEC source: 0001639691-18-000037 · wf-form4_152401612328471.xml · nonDerivative · entry 1

Moore Daniel Jeffrey · CIK 0001400857 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,296

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 24, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 10 separate sales on the transaction date at prices ranging from $86.18 to $86.33. 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.

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April 16, 2018 Filed Apr 17, 2018 21:51 UTC
WISE DAVID SChief Administrative Officer
SaleOrdinary Shares 1,500 $86.81 $130,222.05
Disclosure

SEC source: 0001639691-18-000038 · wf-form4_152401624690872.xml · nonDerivative · entry 1

WISE DAVID S · CIK 0001263257 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,822

F1 · kind: Shares sold pursuant to a Rule 10b5-1 Plan adopted by reporting person on November 29, 2017.

F2 · price: Represents weighted average selling price. Securities sold through approximately 15 separate sales on the transaction date at prices ranging from $86.18 to $87.14. 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.

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March 23, 2018 Filed Mar 27, 2018 15:55 UTC Exercise / conversionRestricted Stock Units · Derivative 1,325 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000036 · wf-form4_152216612202625.xml · derivative · entry 3

Gianotti Stefano · CIK 0001655983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,325 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ordinary share of 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 (the Plan) and the Award Agreement (the Agreement).

F4 · derivative.exercise_date: The reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on December 15, 2018, subject to continued service during the vesting period. On March 23, 2018, the Board of Directors of the Company approved an amendment to the Agreement: in the event a non-employee director incurs a termination of service prior to the vesting date, a prorated portion of the RSUs shall immediately vest upon termination of service. Reporting person, a non-employee director, submitted a termination of service effective March 23, 2018.

F4 · derivative.expiration_date: The reporting person was granted RSUs that vest and all forfeiture restrictions thereon shall lapse on December 15, 2018, subject to continued service during the vesting period. On March 23, 2018, the Board of Directors of the Company approved an amendment to the Agreement: in the event a non-employee director incurs a termination of service prior to the vesting date, a prorated portion of the RSUs shall immediately vest upon termination of service. Reporting person, a non-employee director, submitted a termination of service effective March 23, 2018.

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March 23, 2018 Filed Mar 27, 2018 15:55 UTC Disposition to issuerOrdinary Shares 1,325 $84.24 $111,618.00
Disclosure

SEC source: 0001639691-18-000036 · wf-form4_152216612202625.xml · nonDerivative · entry 2

Gianotti Stefano · CIK 0001655983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,830

F2 · shares: Shares disposed of to the Company to cover applicable taxes and to cash cover the remainder shares.

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March 23, 2018 Filed Mar 27, 2018 15:55 UTC Exercise / conversionOrdinary Shares 1,325 $84.24 $111,618.00
Disclosure

SEC source: 0001639691-18-000036 · wf-form4_152216612202625.xml · nonDerivative · entry 1

Gianotti Stefano · CIK 0001655983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,155

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Restricted stock units (RSUs) vested on March 23, 2018. The referenced RSUs are being settled in cash based on the closing price of the ordinary shares of LivaNova PLC (the Company) on March 23, 2018.

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March 15, 2018 Filed Mar 19, 2018 16:38 UTC GrantPerformance Stock Units · Derivative 1,838 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000025 · wf-form4_152149189832693.xml · derivative · entry 4

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,099

Underlying: Performance Stock Units · 1,838 shares

Expires not disclosed

F3 · derivative.exercise_price: 88.38 Conversion or Exercise Price of Derivative Security.

F6 · derivative.exercise_date: On March 15, 2018, reporting person was granted 1,838 PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target. The form of agreement for this award was filed with the Securities and Exchange Commission on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

F6 · derivative.expiration_date: On March 15, 2018, reporting person was granted 1,838 PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target. The form of agreement for this award was filed with the Securities and Exchange Commission on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

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March 15, 2018 Filed Mar 19, 2018 16:38 UTC GrantPerformance Stock Units · Derivative 1,838 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000025 · wf-form4_152149189832693.xml · derivative · entry 3

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,261

Underlying: Performance Stock Units · 1,838 shares

Expires not disclosed

F3 · derivative.exercise_price: 88.38 Conversion or Exercise Price of Derivative Security.

F5 · derivative.exercise_date: On March 15, 2018, reporting person was granted 1,838 PSUs to vest or lapse on the filing of the Company's Annual Report on Form 10-K for the fiscal year ending December 31, 2020 ("2020 Form 10-K") based on the rank of the Company's total shareholder return for the three-year period ending December 31, 2020 relative to the total shareholder return of a benchmark group of companies. The form of agreement for this award was filed with the Securities and Exchange Commission in a Current Report on Form 8-K on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

F5 · derivative.expiration_date: On March 15, 2018, reporting person was granted 1,838 PSUs to vest or lapse on the filing of the Company's Annual Report on Form 10-K for the fiscal year ending December 31, 2020 ("2020 Form 10-K") based on the rank of the Company's total shareholder return for the three-year period ending December 31, 2020 relative to the total shareholder return of a benchmark group of companies. The form of agreement for this award was filed with the Securities and Exchange Commission in a Current Report on Form 8-K on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

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March 15, 2018 Filed Mar 19, 2018 16:38 UTC GrantStock Appreciation Rights · Derivative 5,996 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000025 · wf-form4_152149189832693.xml · derivative · entry 2

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,199

Underlying: Stock Appreciation Rights · 5,996 shares

Expires not disclosed

F3 · derivative.exercise_price: 88.38 Conversion or Exercise Price of Derivative Security.

F4 · derivative.exercise_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of 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, March 15, 2018.

F4 · derivative.expiration_date: Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of 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, March 15, 2018.

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March 15, 2018 Filed Mar 19, 2018 16:38 UTC GrantRestricted Stock Units · Derivative 1,838 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000025 · wf-form4_152149189832693.xml · derivative · entry 1

Skeffington Keyna Pidcock · CIK 0001712880 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,423

Underlying: Restricted Stock Units · 1,838 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit (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) and the award agreement.

F2 · derivative.exercise_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 15, 2018, subject to continued service during the vesting period.

F2 · derivative.expiration_date: Reporting person was granted RSUs subject to a four-year vesting schedule, vesting 25% on each of the first four anniversaries of March 15, 2018, subject to continued service during the vesting period.

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March 15, 2018 Filed Mar 19, 2018 20:42 UTC GrantPerformance Stock Units · Derivative 12,729 $0.00 $0.00
Disclosure

SEC source: 0001639691-18-000028 · wf-form4_152149212906727.xml · derivative · entry 4

McDonald Damien · CIK 0001686894 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,280

Underlying: Performance Stock Units · 12,729 shares

Expires not disclosed

F3 · derivative.exercise_price: 88.38 Conversion or Exercise Price of Derivative Security.

F6 · derivative.exercise_date: On March 15, 2018, reporting person was granted 12,729 PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target. The form of agreement for this award was filed with the Securities and Exchange Commission on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

F6 · derivative.expiration_date: On March 15, 2018, reporting person was granted 12,729 PSUs to vest or lapse on the filing of the Company's 2020 Form 10-K based on how the Company's cumulative adjusted free cash flow for fiscal years 2018, 2019 and 2020 compares to a target. The form of agreement for this award was filed with the Securities and Exchange Commission on March 16, 2018. The number included in column 5 of Table II reflects the target number of PSUs eligible for vesting.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.