Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
LivaNova PLC
Report date December 31, 2016 · Filed January 04, 2017
Section 16 reporting ended · disclosed 2017-01-04. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Ordinary SharesSEC Table I · non-derivative | Direct | 93,822 |
Ending reported balance
After 2016-12-31 transaction · row 4
4 source rows · reconciled sequenceRow 1 · 2016-12-31 · Exercise / conversion · Acquired 4,001 · Balance 94,413 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. Row 2 · 2016-12-31 · Tax withholding · Disposed 1,880 · Balance 92,533 F3: 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 December 31, 2016 vesting of 4,001 RSUs. Row 3 · 2016-12-31 · Exercise / conversion · Acquired 2,431 · Balance 94,964 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. Row 4 · 2016-12-31 · Tax withholding · Disposed 1,142 · Balance 93,822 F4: 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 December 31, 2016 vesting of 2,431 RSUs. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-12-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2016-12-31 · Exercise / conversion · Disposed 4,001 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. F2: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2016-12-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-12-31 · Exercise / conversion · Disposed 2,431 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. F2: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value.
F2: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016.
F3: 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 December 31, 2016 vesting of 4,001 RSUs.
F4: 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 December 31, 2016 vesting of 2,431 RSUs.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionRestricted Stock Units · Derivative | 2,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · derivative · entry 6 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 2,431 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. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. F2 · derivative.exercise_date: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. F2 · derivative.expiration_date: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionRestricted Stock Units · Derivative | 4,001 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · derivative · entry 5 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Ordinary Shares · 4,001 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. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. F2 · derivative.exercise_date: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. F2 · derivative.expiration_date: Reporting person was granted restricted stock units ("RSUs") under the Sorin LTI Award pursuant to the Sorin Plans. Each RSU represents a contingent right to receive one ordinary share of the Company. All of such RSUs vested and all restrictions thereon lapsed on December 30, 2016. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Tax withholdingOrdinary Shares | 1,142 | $44.97 | $51,355.74 |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · nonDerivative · entry 4 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,822 F4 · 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 December 31, 2016 vesting of 2,431 RSUs. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionOrdinary Shares | 2,431 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · nonDerivative · entry 3 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,964 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Tax withholdingOrdinary Shares | 1,880 | $44.97 | $84,543.60 |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · nonDerivative · entry 2 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,533 F3 · 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 December 31, 2016 vesting of 4,001 RSUs. Read SEC document |
| December 31, 2016 Filed Jan 4, 2017 12:40 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionOrdinary Shares | 4,001 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-17-000265 · doc1.xml · nonDerivative · entry 1 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,413 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, ?1.00 par value. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 12:02 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionRestricted Stock Units · Derivative | 17,835 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-087515 · doc1.xml · derivative · entry 3 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,339 Underlying: Ordinary Shares · 17,835 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. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, or at the option of the Company, a cash settlement in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan. F2 · derivative.exercise_date: The RSUs vest 20% on, each November 18, 2016, November 18, 2017, and November 18, 2018, and 40% on November 18, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan. F2 · derivative.expiration_date: The RSUs vest 20% on, each November 18, 2016, November 18, 2017, and November 18, 2018, and 40% on November 18, 2019. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 12:02 UTC | LivaNova PLC LIVN · Entity 507 | Tax withholdingOrdinary Shares | 8,382 | $43.07 | $361,012.74 |
DisclosureSEC source: 0001140361-16-087515 · doc1.xml · nonDerivative · entry 2 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,412 F3 · 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 November 18, 2016 vesting of 17,835 RSUs. Read SEC document |
| November 18, 2016 Filed Nov 22, 2016 12:02 UTC | LivaNova PLC LIVN · Entity 507 | Exercise / conversionOrdinary Shares | 17,835 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-16-087515 · doc1.xml · nonDerivative · entry 1 BALLESTER ANDRE MICHEL · CIK 0001204546 · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,794 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of LivaNova PLC's ("Company") ordinary shares, or at the option of the Company, a cash settlement in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.