SEC FORM 3

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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

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1. Name and Address of Reporting Person^*

Shvartsburg Alex

(Last)

(First)

(Middle)

20 EASTBOURNE TERRACE

(Street)

LONDON

W26LG

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
10/29/2020

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

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

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Interim CFO

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

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

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

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Ordinary Shares	1,537	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Restricted Stock Units⁽¹⁾	⁽²⁾	12/15/2021	Ordinary Shares	1,327	⁽²⁾	D
Restricted Stock Units⁽¹⁾	⁽³⁾	03/15/2022	Ordinary Shares	781	⁽³⁾	D
Restricted Stock Units⁽¹⁾	⁽⁴⁾	03/30/2023	Ordinary Shares	1,178	⁽⁴⁾	D
Restricted Stock Units⁽¹⁾	⁽⁵⁾	03/30/2024	Ordinary Shares	2,820	⁽⁵⁾	D
Restricted Stock Units⁽¹⁾	⁽⁶⁾	06/15/2024	Ordinary Shares	6,307	⁽⁶⁾	D
Stock Appreciation Rights	⁽⁷⁾	12/15/2027	Ordinary Shares	5,833	$80.26	D
Stock Appreciation Rights	⁽⁸⁾	03/15/2028	Ordinary Shares	5,076	$88.38	D
Stock Appreciation Rights	⁽⁹⁾	03/30/2029	Ordinary Shares	4,874	$97.25	D
Stock Appreciation Rights	⁽¹⁰⁾	03/30/2030	Ordinary Shares	7,838	$43.57	D

Explanation of Responses:

1. Each restricted stock unit (RSU) represents a contingent right to receive one ordinary share (Ordinary Share) of LivaNova PLC (the Company), GBP 1.00 par value, in accordance with the terms of the LivaNova PLC 2015 Incentive Award Plan (the Plan) and the award agreement.

2. The reporting person was granted RSUs on December 15, 2017, subject to a four-year vesting schedule, which began on December 15, 2018. The remaining unvested RSUs reported here vest 25% on December 15, 2020 and on December 15, 2021. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

3. The reporting person was granted RSUs on March 15, 2018, subject to a four-year vesting schedule, which began on March 15, 2019. The remaining unvested RSUs reported here vest 25% on March 15, 2021, and on March 15, 2022. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

4. The reporting person was granted RSUs on March 15, 2019, subject to a four-year vesting schedule, which began on March 15, 2020. The remaining unvested RSUs reported here vest 25% on March 15, 2021, on March 15, 2022 and on March 15, 2023. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

5. The reporting person was granted RSUs on March 30, 2020, subject to a four-year vesting schedule, to begin on March 30, 2021. The unvested RSUs reported here vest 25% on March 30, 2021, on March 30, 2022, on March 30, 2023, and on March 30, 2024. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

6. The reporting person was granted RSUs on June 15, 2020, subject to a four-year vesting schedule, to begin on June 15, 2021. The unvested RSUs reported here vest 25% on June 15, 2021, on June 15, 2022, on June 15, 2023, and on June 15, 2024. The RSUs are subject to forfeiture prior to vesting in accordance with the terms of the Plan and the award agreement.

7. Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, December 15, 2017.

8. Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the award agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 15, 2018.

9. Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2019.

10. Reporting person was granted an award of stock appreciation rights ("SARs"). Subject to the terms and conditions of the Plan and the SAR Agreement, the SARs shall vest in equal installments of 25% on each of the first four anniversaries of the grant date, March 30, 2020.

Remarks:

	/s/ Sarah K. Mohr, POA	11/06/2020
	** 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 5 (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.