Is Ann Custin’s Establishment Labs (ESTA) share grant an open-market purchase?

No, Ann Custin’s 239-share increase is not an open-market purchase. It is a compensation-related grant, representing common shares received instead of a quarterly cash retainer under the Outside Director Compensation Policy and issued pursuant to the 2018 Equity Incentive Plan.

Ann Custin of Establishment Labs (ESTA) receives 239-share equity retainer grant

Filing Impact

(Neutral)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

Custin Ann reported acquisition or exercise transactions in this Form 4 filing.

Establishment Labs Holdings Inc. director Ann Custin received an equity grant of common shares as part of her board compensation. She was awarded 239 common shares, elected in lieu of a quarterly cash retainer under the company’s Outside Director Compensation Policy. The shares were issued under the 2018 Equity Incentive Plan at a reference price of $85.81 per share, based on the closing price on the last trading day of the quarter. Following this grant, Custin directly holds 24,325 common shares of the company.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Custin Ann

Role null

Type	Security	Shares	Price	Value
Grant/Award	Common Shares	239	$85.81	$21K

Holdings After Transaction: Common Shares — 24,325 shares (Direct, null)

Footnotes (1)

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Key Figures

Shares granted: 239 shares Reference share price: $85.81 per share Total shares after grant: 24,325 shares

3 metrics

Shares granted 239 shares Quarterly retainer paid in stock to director Ann Custin

Reference share price $85.81 per share Closing price on last trading day of the quarter

Total shares after grant 24,325 shares Ann Custin direct holdings following the transaction

Key Terms

Outside Director Compensation Policy, 2018 Equity Incentive Plan, quarterly cash retainer, Grant, award, or other acquisition

4 terms

Outside Director Compensation Policy financial

"common shares elected to be received in lieu of a quarterly cash retainer payment in accordance with the Reporting Person's prior election under the Issuer's Outside Director Compensation Policy"

2018 Equity Incentive Plan financial

"The common shares were issued pursuant to the Issuer's 2018 Equity Incentive Plan and determined based on the closing price"

quarterly cash retainer financial

"Represents common shares elected to be received in lieu of a quarterly cash retainer payment in accordance with the Reporting Person's prior election"

Grant, award, or other acquisition financial

"transaction_code_description": "Grant, award, or other acquisition""

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/01/2026 - 06:08 PM Accepted by SEC EDGAR 07/01/2026 - 06:07 PM

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^*

Custin Ann

(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
	Officer (give title below)	Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
06/30/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Shares	06/30/2026		A⁽¹⁾		239	A	$85.81	24,325	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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Represents common shares elected to be received in lieu of a quarterly cash retainer payment in accordance with the Reporting Person's prior election under the Issuer's Outside Director Compensation Policy. The common shares were issued pursuant to the Issuer's 2018 Equity Incentive Plan and determined based on the closing price of the Issuer's common shares on the last trading day of the quarter.

Remarks:

	/s/ Cassandra "Sandra" Harris	07/01/2026
	** 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)

Source: View Original Filing on SEC EDGAR

FAQ

What did Ann Custin report in the latest ESTABLISHMENT LABS (ESTA) Form 4?

Ann Custin reported receiving 239 common shares of Establishment Labs as board compensation. These shares were granted instead of a quarterly cash retainer and issued under the company’s 2018 Equity Incentive Plan at a reference price based on the quarter-end closing share price.

How many Establishment Labs (ESTA) shares did Ann Custin receive and at what price?

Ann Custin received 239 common shares of Establishment Labs. The number of shares was determined using a reference price of $85.81 per share, which reflects the closing price on the last trading day of the quarter for the equity retainer conversion.

Why did Ann Custin receive shares instead of cash from Establishment Labs (ESTA)?

Ann Custin elected to receive common shares in lieu of her quarterly cash retainer. This election was made under the company’s Outside Director Compensation Policy, which allows directors to take equity compensation instead of cash, aligning a portion of their compensation with shareholder interests.

Under which plan were Ann Custin’s new Establishment Labs (ESTA) shares issued?

The 239 common shares granted to Ann Custin were issued under Establishment Labs’ 2018 Equity Incentive Plan. This plan governs equity-based compensation awards, including shares granted to outside directors as part of their regular retainer or other approved compensation arrangements.

How many Establishment Labs (ESTA) shares does Ann Custin hold after this Form 4 transaction?

After receiving 239 additional common shares, Ann Custin directly holds a total of 24,325 Establishment Labs shares. This updated holding reflects her ownership position following the most recent equity grant reported in the Form 4 insider transaction filing.