Renee Gaeta - 20 May 2021 Form 4 Insider Report for ESTABLISHMENT LABS HOLDINGS INC. (ESTA)

Role
Chief Financial Officer
Signature
/s/ Renee Gaeta
Issuer symbol
ESTA
Transactions as of
20 May 2021
Net transactions value
-$679,261
Form type
4
Filing time
21 May 2021, 17:37:31 UTC
Previous filing
20 May 2021
Next filing
04 Jun 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ESTA Common Shares Options Exercise $63,789 +6,260 $10.19* 6,260 20 May 2021 Direct F1
transaction ESTA Common Shares Sale $465,570 -6,260 -100% $74.37 0 20 May 2021 Direct F1, F2
transaction ESTA Common Shares Options Exercise $28,940 +2,840 $10.19* 2,840 21 May 2021 Direct F1
transaction ESTA Common Shares Sale $51,861 -694 -24% $74.73 2,146 21 May 2021 Direct F1, F3
transaction ESTA Common Shares Sale $147,530 -1,958 -91% $75.35 188 21 May 2021 Direct F1, F4
transaction ESTA Common Shares Sale $14,300 -188 -100% $76.07 0 21 May 2021 Direct F1, F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ESTA Stock Option (Right to buy) Options Exercise $63,789 -6,260 -4.3% $10.19* 139,960 20 May 2021 Common Shares 6,260 $10.19 Direct F1, F6
transaction ESTA Stock Option (Right to buy) Options Exercise $28,940 -2,840 -2% $10.19* 137,120 21 May 2021 Common Shares 2,840 $10.19 Direct F1, F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
F2 This transaction was executed in multiple trades at prices ranging from $74.00 to $74.91 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F3 This transaction was executed in multiple trades at prices ranging from $74.00 to $74.94 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F4 This transaction was executed in multiple trades at prices ranging from $75.00 to $75.91 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F5 This transaction was executed in multiple trades at prices ranging from $76.00 to $76.11 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
F6 The option, originally for 147,120 shares, vested as to one-fourth of the shares on July 1, 2018, and one-fourth of the shares subject to the option vest each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.