# EDGAR Filing Document

**Accession Number:** 0001686894
**File Stem:** 0001639691-23-000019
**Filing Date:** 2023-3
**Character Count:** 7777
**Document Hash:** 7136e16fec2e0e4796e163506b8fce1a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001639691-23-000019.hdr.sgml**: 20230301

**ACCESSION NUMBER**: 0001639691-23-000019

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230227

**FILED AS OF DATE**: 20230301

**DATE AS OF CHANGE**: 20230301

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** McDonald Damien
- **CENTRAL INDEX KEY:** 0001686894

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37599
- **FILM NUMBER:** 23693591

**MAIL ADDRESS:**
- **STREET 1:** 5 MERCHANT SQUARE
- **STREET 2:** NORTH WHARF ROAD
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** W21AY
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** LivaNova PLC
- **CENTRAL INDEX KEY:** 0001639691
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
- **IRS NUMBER:** 981268150
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 20 EASTBOURNE TERRACE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** W2 6LG
- **BUSINESS PHONE:** 4402033250662

**MAIL ADDRESS:**
- **STREET 1:** 20 EASTBOURNE TERRACE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** W2 6LG

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Sand Holdco Plc
- **DATE OF NAME CHANGE:** 20150420

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Sand Holdco Ltd
- **DATE OF NAME CHANGE:** 20150415

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] 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**<sup>*</sup><br>McDonald Damien<br><sub>(Last) (First) (Middle)</sub><br>20 EASTBOURNE TERRACE<br><sub>(Street)</sub><br>LONDON, X0 W2 6LG<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-02-27 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>LivaNova PLC [ LIVN ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Ordinary Shares | 2023-02-27 |  | M |  | 25131 | A | 0<sup>(1)</sup> | 108880 | D |  |
| Ordinary Shares | 2023-02-27 |  | F |  | 11812<sup>(2)</sup> | D | $47.99 | 97068 | D |  |
| Ordinary Shares | 2023-02-27 |  | M |  | 10569 | A | 0<sup>(1)</sup> | 107637 | D |  |
| Ordinary Shares | 2023-02-27 |  | F |  | 4968<sup>(2)</sup> | D | $47.99 | 102669 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Stock Units | <sup>(3)</sup> | 2023-02-27 |  | M |  |  | 25131 | <sup>(4)</sup> | <sup>(4)</sup> | Ordinary Shares | 25131.0 | $0 | 0<sup>(5)</sup> | D |  |
| Performance Stock Units | <sup>(3)</sup> | 2023-02-27 |  | M |  |  | 10569 | <sup>(6)</sup> | <sup>(6)</sup> | Ordinary Shares | 10569.0 | $0 | 0<sup>(5)</sup> | D |  |

---

### Footnotes:

(1) Reporting person had vested performance stock units (PSUs) settled in ordinary shares of LivaNova PLC (the Company), GBP 1.00 par value.

(2) The referenced shares were withheld from distribution at the request of reporting person to satisfy tax liability.

(3) Each performance stock unit (PSU) represents a contingent right to receive one Ordinary Share of the Company in accordance with the terms of the Plan and the award agreement.

(4) On March 30, 2020, the reporting person was granted 34,427 PSUs that would vest upon the filing of the Company's 2022 Form 10-K for the fiscal year ending December 31, 2022. The vesting of the PSUs depended on the Company's performance against a target of the relative total shareholder return (r-TSR) for fiscal years 2020, 2021, and 2022, compared to our peer companies. The Company's performance achieved a result of 73%, and the actual number of vested shares is presented as the quantity that was acquired.

(5) This number reflects the number of derivative securities beneficially owned following reported transaction for this specific grant.

(6) On March 30, 2020, the reporting person received a grant of 34,427 PSUs which were subject to vesting upon the filing of the Company's 2022 Form 10-K for the fiscal year ending December 31, 2022. The number of PSUs that vested was the result of the Company's performance against a target related to Adjusted Free Cash Flow for fiscal years 2020, 2021, and 2022. The performance achieved was 30.7%, and the actual number of vested shares is presented as the quantity that was acquired.

**Signature:** /s/ Sarah K. Mohr, POA  
**Date:** 2023-03-01

### Remarks:

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.**