LivaNova grants CLO 6,291 RSUs under incentive plan

LivaNova PLC granted its Chief Legal Officer 6,291 time‑vested RSUs that convert one‑for‑one into ordinary shares if vesting conditions are met.

Rhea-AI Filing Summary

LivaNova PLC (symbol: LIVN) is the issuer of record for a Form 4 filing submitted to the SEC. Liddy Anne M. reported acquisition or exercise transactions in this Form 4 filing.

LivaNova PLC (LIVN) reported that Chief Legal Officer Anne M. Liddy received a grant of 6,291 Restricted Stock Units (RSUs) on September 15, 2026 under the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan. The RSUs vest 20% on March 30, 2027 (pro‑rated from the grant date), 40% on March 30, 2028, and 40% on March 30, 2029, and are subject to forfeiture before vesting. Each RSU represents a contingent right to receive one ordinary share of LivaNova PLC.

Insider Trade Summary

Grant/Award: 6,291 shares

Grant/Award 1 txn

Insider Liddy Anne M.

Role Chief Legal Officer

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Units F1, F2	6,291	$0.00	$0.00

Holdings After Transaction: Restricted Stock Units — 6,291 contracts (Direct)

Footnotes (2)

1. F1. On September 15, 2026, reporting person was granted 6,291 restricted stock units (RSUs) of LivaNova PLC (the Company) pursuant to the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan (the Second A&R 2022 Plan) and the award agreement. The RSUs vest 20% on March 30, 2027 (pro-rated for service from the grant date to such vesting date), 40% on March 30, 2028, and 40% on March 30, 2029. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Second A&R 2022 Plan and the award agreement.
2. F2. Each RSU represents a contingent right to receive one ordinary share of the Company in accordance with the Second A&R 2022 Plan and the award agreement.

Key Figures

RSUs granted: 6,291 units Initial vesting tranche: 20% Second vesting tranche: 40% +2 more

5 metrics

RSUs granted 6,291 units Restricted Stock Units granted to Chief Legal Officer on September 15, 2026

Initial vesting tranche 20% Vests on March 30, 2027, pro‑rated for service from grant date

Second vesting tranche 40% Vests on March 30, 2028

Final vesting tranche 40% Vests on March 30, 2029

Shares per RSU 1 ordinary share per RSU Each RSU converts into one ordinary share upon settlement

Key Terms

Restricted Stock Units, contingent right, forfeiture, Incentive Award Plan

4 terms

Restricted Stock Units financial

"was granted 6,291 restricted stock units (RSUs) of LivaNova PLC"

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.

contingent right financial

"Each RSU represents a contingent right to receive one ordinary share"

forfeiture financial

"The RSUs are subject to forfeiture prior to vesting"

Incentive Award Plan financial

"pursuant to the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan"

An incentive award plan is a formal program that rewards employees, executives, or directors with cash, stock, options, or other pay when the company meets set goals or performance targets. Like a sales commission or a loyalty program that pays out when you hit milestones, it’s designed to align staff behavior with company objectives; investors care because it affects a company’s costs, share count (dilution), leadership incentives, and long-term value creation.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What equity award did LivaNova PLC (LIVN) grant to its Chief Legal Officer?

LivaNova PLC granted Chief Legal Officer Anne M. Liddy 6,291 Restricted Stock Units (RSUs) on September 15, 2026 under the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan.

How do the 6,291 RSUs granted by LIVN vest over time?

The 6,291 RSUs vest 20% on March 30, 2027 (pro‑rated from the grant date), 40% on March 30, 2028, and 40% on March 30, 2029, subject to the terms of the plan and award agreement.

What does each RSU granted by LivaNova PLC (LIVN) represent?

Each RSU represents a contingent right to receive one ordinary share of LivaNova PLC in accordance with the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan and the related award agreement.

Are the 6,291 RSUs granted by LIVN immediately owned as shares?

No. The 6,291 RSUs are subject to forfeiture prior to vesting and only convert into ordinary shares if the vesting conditions set out in the plan and award agreement are satisfied.

Was the LivaNova PLC (LIVN) RSU grant made under a Rule 10b5-1 trading plan?

The filing indicates the Rule 10b5‑1 checkbox is not affirmed for this Form 4. The RSU grant is reported as an award under the company’s incentive plan, not as a transaction under a trading plan.

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

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Available on EDGAR 09/16/2026 - 04:23 PM Accepted by SEC EDGAR 09/16/2026 - 04:23 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^*

Liddy Anne M.

(Last) (First) (Middle)

5220 VALIANT COURT

C/O LIVANOVA PLC

(Street)

GLOUCESTER GL3 4FE

(City) (State) (Zip)

UNITED KINGDOM

(Country)

2. Issuer Name and Ticker or Trading Symbol
LivaNova PLC [ LIVN ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/15/2026

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

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
Restricted Stock Units	$0	09/15/2026		A		6,291		(1)	(1)	Ordinary Shares	6,291(2)	$0	6,291	D

Explanation of Responses:

1. On September 15, 2026, reporting person was granted 6,291 restricted stock units (RSUs) of LivaNova PLC (the Company) pursuant to the Second Amended and Restated LivaNova PLC 2022 Incentive Award Plan (the Second A&R 2022 Plan) and the award agreement. The RSUs vest 20% on March 30, 2027 (pro-rated for service from the grant date to such vesting date), 40% on March 30, 2028, and 40% on March 30, 2029. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Second A&R 2022 Plan and the award agreement.

2. Each RSU represents a contingent right to receive one ordinary share of the Company in accordance with the Second A&R 2022 Plan and the award agreement.

Remarks:

	/s/ Sarah K. Mohr, Attorney-in-Fact	09/16/2026
	** 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)