[144] LivaNova PLC SEC Filing

Rhea-AI Filing Summary

LivaNova PLC (LIVN) submitted a Form 144 notice reporting a proposed sale of 1,500 ordinary shares through Merrill Lynch with an aggregate market value of $84,750. The shares were acquired on 06/29/2021 upon vesting of a restricted stock unit award granted under the issuer's equity compensation plan. The filer indicates the approximate date of sale as 08/25/2025 and the intended exchange is NASDAQ. The filing includes the standard representation that the seller is not aware of undisclosed material adverse information about the issuer and references Rule 144 and Rule 10b5-1 trading plan considerations.

Positive

• Full disclosure of required Rule 144 details including acquisition date, acquisition method, broker, quantity, aggregate value, and intended sale date
• Securities were granted under the issuer's equity compensation plan, and the filing identifies the grant date and nature of acquisition

Negative

• None.

Insights

Securities Compliance Analyst

TL;DR Routine Rule 144 notice for vested equity; disclosure aligns with required insider-sale procedures.

The filing documents a typical compliant Rule 144 notification for the sale of restricted-stock-derived shares. It specifies acquisition method (vesting), acquisition date, broker, quantity, aggregate value, and intended sale date and exchange, which are the core elements required for transparency. The inclusion of the seller's representation regarding material non-public information is standard and important for regulatory protection.

Equity Markets Analyst

TL;DR Small, routine equity disposal by an insider; unlikely to be market-moving given disclosed size.

The notice reports a proposed disposal of 1,500 shares with an aggregate value of $84,750. Given the context of this being a sale of vested RSUs and the absence of other recent sales reported in the past three months, this appears to be a routine liquidity event rather than a strategic change. The filing supplies necessary execution details (broker and exchange) to facilitate orderly processing.

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK
Filer CCC
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

Relationship to Issuer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Ordinary Shares	Merrill Lynch 225 Liberty St Floor 37 New York NY 10281	1500	84750.00	54601073	08/25/2025	NASDAQ

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Ordinary shares	06/29/2021	Vesting of restricted stock unit award	LivaNova PLC			1500	06/29/2021	Granted as part of issuer equity compensation plan

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks

Date of Notice

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

Signature

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does LivaNova's Form 144 (LIVN) report?

The form reports a proposed sale of 1,500 ordinary shares acquired via RSU vesting on 06/29/2021, with an aggregate market value of $84,750.

When is the approximate sale date listed on the Form 144?

The filer indicates an approximate sale date of 08/25/2025 on the NASDAQ exchange through Merrill Lynch.

How were the shares acquired according to the filing?

The shares were acquired through the vesting of a restricted stock unit award granted by LivaNova PLC, with acquisition and grant on 06/29/2021.

Did the filer report any other securities sold in the past three months?

The filing states "Nothing to Report" for securities sold during the past three months by the person for whose account the securities are to be sold.

Does the Form 144 include any representation about material non-public information?

Yes. The signer represents they do not know of any material adverse information about the issuer that has not been publicly disclosed and references 10b5-1 plan considerations.