Filing Details

Accession Number:
0001742428-21-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-05-21 17:37:31
Reporting Period:
2021-05-20
Accepted Time:
2021-05-21 17:37:31
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1688757 Establishment Labs Holdings Inc. ESTA Orthopedic, Prosthetic & Surgical Appliances & Supplies (3842) 981436377
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1742428 Renee Gaeta C/O Motiva Usa Llc
16192 Coastal Highway
Lewes DE 19958
Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Shares Acquisiton 2021-05-20 6,260 $10.19 6,260 No 4 M Direct
Common Shares Disposition 2021-05-20 6,260 $74.37 0 No 4 S Direct
Common Shares Acquisiton 2021-05-21 2,840 $10.19 2,840 No 4 M Direct
Common Shares Disposition 2021-05-21 694 $74.73 2,146 No 4 S Direct
Common Shares Disposition 2021-05-21 1,958 $75.35 188 No 4 S Direct
Common Shares Disposition 2021-05-21 188 $76.07 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Shares Stock Option (Right to buy) Disposition 2021-05-20 6,260 $10.19 6,260 $10.19
Common Shares Stock Option (Right to buy) Disposition 2021-05-21 2,840 $10.19 2,840 $10.19
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
139,960 2028-03-13 No 4 M Direct
137,120 2028-03-13 No 4 M Direct
Footnotes
  1. The option exercises and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
  2. This transaction was executed in multiple trades at prices ranging from $74.00 to $74.91 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  3. This transaction was executed in multiple trades at prices ranging from $74.00 to $74.94 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  4. This transaction was executed in multiple trades at prices ranging from $75.00 to $75.91 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  5. This transaction was executed in multiple trades at prices ranging from $76.00 to $76.11 per share. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.
  6. The option, originally for 147,120 shares, vested as to one-fourth of the shares on July 1, 2018, and one-fourth of the shares subject to the option vest each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.