| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | LIVN | Ordinary Shares | 5.46K | Mar 1, 2024 | Direct |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 11.6K | $42.71 | Direct | F1 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 4.41K | $82.04 | Direct | F2 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 4.29K | $73.25 | Direct | F3 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 6.38K | $43.57 | Direct | F4 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 2.27K | $97.25 | Direct | F5 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 1.61K | $88.38 | Direct | F6 | ||||||
| holding | LIVN | Stock Appreciation Rights | Mar 1, 2024 | Ordinary Shares | 3.71K | $56.17 | Direct | F7 | ||||||
| holding | LIVN | Restricted Stock Units | Mar 1, 2024 | Ordinary Shares | 5.32K | Direct | F8, F9 | |||||||
| holding | LIVN | Restricted Stock Units | Mar 1, 2024 | Ordinary Shares | 1.37K | Direct | F10, F11 | |||||||
| holding | LIVN | Restricted Stock Units | Mar 1, 2024 | Ordinary Shares | 853 | Direct | F10, F12 | |||||||
| holding | LIVN | Restricted Stock Units | Mar 1, 2024 | Ordinary Shares | 573 | Direct | F10, F13 | |||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 2.66K | $0.00 | Direct | F14, F15 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 2.66K | $0.00 | Direct | F14, F16 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 5.32K | $0.00 | Direct | F14, F17 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 914 | $0.00 | Direct | F18, F19 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 914 | $0.00 | Direct | F18, F20 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 1.83K | $0.00 | Direct | F18, F21 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 853 | $0.00 | Direct | F18, F22 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 853 | $0.00 | Direct | F18, F23 | ||||||
| holding | LIVN | Performance Stock Units | Mar 1, 2024 | Ordinary Shares | 1.71K | $0.00 | Direct | F18, F24 | ||||||
| holding | LIVN | Option to purchase common stock | Mar 1, 2024 | Ordinary Shares | 551 | $57.39 | Direct | F25 |
| Id | Content |
|---|---|
| F1 | Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the 2022 Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2023. |
| F2 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2022. |
| F3 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2021. |
| F4 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2020. |
| F5 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs vested in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2019. |
| F6 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs vested in equal installments of 25% on each of the first four anniversaries of the grant date, March 15, 2018. |
| F7 | Reporting person was granted an award of SARs. Subject to the terms and conditions of the 2015 Plan and the award agreement, the SARs vested in equal installments of 25% on each of the first four anniversaries of the grant date, May 5, 2017. |
| F8 | 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 2022 Incentive Award Plan (the "2022 Plan") and the award agreement. |
| F9 | The reporting person was granted 5,319 RSUs on December March 30, 2023, subject to a four-year vesting schedule, which begins on March 30, 2024. The unvested RSUs reported here vest 25% on March 30, 2024, March 30, 2025, March 30, 2026, and March 30, 2027. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the 2022 Plan and the award agreement. |
| F10 | Each RSU represents a contingent right to receive one Ordinary Share of LivaNova PLC, GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the "2015 Plan") and the award agreement. |
| F11 | The reporting person was granted 1,828 RSUs on December March 30, 2022, subject to a four-year vesting schedule, which began on March 30, 2023. The remaining unvested RSUs reported here vest 25% on March 30, 2024, March 30, 2025, and March 30, 2026. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the 2015 Plan and the award agreement. |
| F12 | The reporting person was granted 1,706 RSUs on December March 30, 2021, subject to a four-year vesting schedule, which began on March 30, 2022. The remaining unvested RSUs reported here vest 25% on March 30, 2024, and on March 30, 2025. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the 2015 Plan and the award agreement. |
| F13 | The reporting person was granted 2,295 RSUs on December March 30, 2020, subject to a four-year vesting schedule, which began on March 30, 2021. The remaining unvested RSUs reported here vest 25% on March 30, 2024. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the 2015 Plan and the award agreement. |
| F14 | Each performance stock unit (PSU) represents a contingent right to receive one Ordinary Share of the Company in accordance with the terms of the 2022 Plan and the terms of the award agreement. |
| F15 | On March 30, 2023, reporting person was granted PSUs to vest or lapse on March 30, 2026 based on how the Company's free cash flow (FCF) for performance period 2023-2025 compared to a target determined by the 2022 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F16 | On March 30, 2023, reporting person was granted PSUs to vest or lapse on March 30, 2026 based on how the Company's Return on Investment Capital (ROIC) calculated for the performance period 2023-2025 compares to a target determined by the 2022 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F17 | On March 30, 2023, reporting person was granted PSUs to vest or lapse on March 30, 2026 based on the Company's total shareholder return (TSR) for the three-year period beginning on January 1, 2023 and ending December 31, 2025 relative to the total shareholder return of a peer group of companies, as determined by the 2022 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F18 | Each PSU represents a contingent right to receive one Ordinary Share of the Company in accordance with the terms of the 2015 Plan and the terms of the award agreement. |
| F19 | On March 30, 2022, reporting person was granted PSUs to vest or lapse on March 30, 2025 based on how the Company's free cash flow (FCF) for performance period January 1, 2022 to December 31, 2024 compares to a target determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F20 | On March 30, 2022, reporting person was granted PSUs to vest or lapse on March 30, 2025 based on how the Company's Return on Investment Capital (ROIC) calculated for the performance period 2022-2024 compares to a target determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F21 | On March 30, 2022, reporting person was granted PSUs to vest or lapse on March 30, 2025 based on the Company's total shareholder return (TSR) for the three-year period beginning on January 1, 2022 and ending December 31, 2024 relative to the total shareholder return of a peer group of companies, as determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F22 | On March 30, 2021, reporting person was granted PSUs to vest or lapse on March 30, 2024 based on how the Company's free cash flow (FCF) for performance period of 2021 compares to a target determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F23 | On March 30, 2021, reporting person was granted PSUs to vest or lapse on March 30, 2024 based on how the Company's Return on Investment Capital (ROIC) calculated for the performance period of 2021 compares to a target determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F24 | On March 30, 2021, reporting person was granted PSUs to vest or lapse on March 30, 2024 based on the Company's total shareholder return (TSR) for the three-year period beginning on January 1, 2021 and ending December 31, 2023 relative to the total shareholder return of a peer group of companies, as determined by the 2015 Plan Administrator. The number included in column 3 of Table II reflects the target number of PSUs eligible for vesting subject to continued service during the vesting period and the award agreement. |
| F25 | Reporting person was granted an award of stock options. These stock options were previously issued to the reporting person under the Cyberonics, Inc. 2009 Stock Plan and converted to LivaNova PLC stock options under the 2015 Plan on October 18, 2015. All options are vested and exercisable. |
Exhibit List: Ex 24 - Power of Attorney