Establishment Labs withholds 682 CEO shares for tax

ESTABLISHMENT LABS HOLDINGS INC.

Rhea-AI Filing Summary

ESTABLISHMENT LABS HOLDINGS INC. (ESTA) reported an insider equity transaction by Chief Executive Officer and director Filippo Caldini. On 2026-08-20, 682 Common Shares were withheld by the company to cover tax withholding obligations arising from the vesting of previously granted restricted stock units. This was reported as a code F transaction (payment of tax liability by delivering or withholding securities), and Caldini’s directly held position after this withholding was 48,829 Common Shares.

Insider Trade Summary

Tax Withholding: 682 shares

Tax Withholding 1 txn

Insider Caldini Filippo

Role Chief Executive Officer

Type	Security	Shares	Price	Value
Tax Withholding	Common Shares F1	682	$71.52	$49K

Holdings After Transaction: Common Shares — 48,829 shares (Direct)

Footnotes (1)

1. F1. Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units previously granted to the reporting person.

Key Figures

Shares withheld for tax: 682 Common Shares Per-share value used for withholding: $71.52 per share Shares held after transaction: 48,829 Common Shares +1 more

4 metrics

Shares withheld for tax 682 Common Shares Common Shares withheld on 2026-08-20 to satisfy tax withholding obligations upon RSU vesting

Per-share value used for withholding $71.52 per share Applied to the 682 Common Shares withheld for tax on 2026-08-20

Shares held after transaction 48,829 Common Shares Directly held by Filippo Caldini following the 2026-08-20 withholding

Code F shares this filing 682 shares Exercise price or tax liability-related disposition reported in the transaction summary

Key Terms

restricted stock units, tax withholding obligations, Code F transaction, Common Shares

4 terms

restricted stock units financial

"in connection with the vesting of restricted stock units previously granted"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

tax withholding obligations financial

"shares withheld by the Issuer to satisfy tax withholding obligations"

Code F transaction regulatory

"This was reported as a code F transaction (payment of tax liability"

Common Shares financial

"Represents shares withheld by the Issuer to satisfy tax withholding"

Common shares are the basic units of ownership in a company that give holders a claim on profits and a right to vote on key matters, like electing the board. Think of them as membership cards in a club: they let you share in successes and losses, but in a bankruptcy or liquidation they are paid after creditors and preferred shareholders, so their value can swing more and matters for assessing risk and potential return.

FAQ

What insider transaction did ESTA report for CEO Filippo Caldini?

ESTA reported that CEO Filippo Caldini had 682 Common Shares withheld on 2026-08-20 to satisfy tax withholding obligations tied to vesting restricted stock units. This was a non-open-market code F transaction, not a discretionary purchase or sale.

How many ESTA shares were involved in the August 20, 2026 transaction?

The August 20, 2026 transaction involved 682 Common Shares of ESTABLISHMENT LABS HOLDINGS INC. These shares were withheld by the issuer to pay tax liabilities related to the vesting of restricted stock units previously granted to the reporting person.

What price per share was used for the ESTA tax-withholding shares?

For the tax-withholding event, the shares were valued at $71.52 per share. This value was applied to the 682 Common Shares that were withheld to satisfy the reporting person’s tax withholding obligations upon RSU vesting.

How many ESTA shares does CEO Filippo Caldini hold after the transaction?

After the 2026-08-20 tax-withholding transaction, CEO Filippo Caldini directly held 48,829 Common Shares of ESTABLISHMENT LABS HOLDINGS INC. This figure reflects his position following the withholding of 682 shares for tax obligations.

Was the ESTA insider transaction an open-market buy or sell?

No. The ESTA insider transaction was coded F, meaning it represented payment of tax liability by delivering or withholding securities in connection with vesting restricted stock units, rather than an open-market purchase or sale.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 08/26/2026 - 05:07 PM Accepted by SEC EDGAR 08/26/2026 - 05:06 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Caldini Filippo

(Last) (First) (Middle)

C/O MOTIVA USA LLC

16192 COASTAL HIGHWAY

(Street)

LEWES DELAWARE 19958

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ESTABLISHMENT LABS HOLDINGS INC. [ ESTA ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	Chief Executive Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/20/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares	08/20/2026		F(1)		682	D	$71.52	48,829	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units previously granted to the reporting person.

Remarks:

	/s/ Cassandra "Sandra" Harris	08/26/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)