Form Type: 4

SEC EDGAR Link
Accession Number:0001639691-21-000062
Date:2021-06-15
Issuer: LIVANOVA PLC (LIVN)
Original Submission Date:

Reporting Person:

SHVARTSBURG ALEX
20 EASTBOURNE TERRACE
LONDON, W26LG

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
ORDINARY SHARES 2021-06-15 M 1,577 a $0.00 4,253 direct
ORDINARY SHARES 2021-06-15 F 742 d $82.14 3,511 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2021-06-15 deemed execution date M 1,577 (d) ordinary shares 1,577 $0.00 4,730 direct
Footnotes
IDfootnote
f1 reporting person had vested restricted stock units (rsus) settled in ordinary shares of livanova plc (the company), gbp 1.00 par value.
f2 the referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.
f3 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 on june 15, 2020, reporting person was granted rsus subject to a four-year vesting schedule, the first vesting for which occurred on june 15, 2021. the rsus are subject to forfeiture prior to vesting in accordance with the terms of the plan and the award agreement.
f5 this number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant.
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