Amended Statement of Changes in Beneficial Ownership (4/a)
13 Aprile 2018 - 11:21PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
RESSLER RICHARD S
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2. Issuer Name
and
Ticker or Trading Symbol
Presbia PLC
[
LENS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O PRESBIA PLC, SANDYFORD OFFICE CENTRE, SUITE 7, 17 CORRIG ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/8/2017
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(Street)
DUBLIN 2, L2 00000
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
3/10/2017
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares
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3/8/2017
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X
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1065852
(1)
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A
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$3.00
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4250821
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Subscription Rights (right to buy)
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$3.00
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3/8/2017
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X
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$3183428
(1)
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2/6/2017
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3/8/2017
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Ordinary Shares
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$1067393
(1)
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$0
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0
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D
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Explanation of Responses:
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(1)
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The amendment to the original Form 4 filed on March 10, 2017, is being filed to correct the number of subscription rights exercised and Ordinary Shares received. On March 8, 2017, the Reporting Person delivered to the Issuer an irrevocable notice of exercise of his subscription rights to purchase 1,067,393 Ordinary Shares, together with payment of the requisite fee, pursuant to the rights offering set forth in the Prospectus filed pursuant to Rule 424(b)(4), filed with the SEC on January 27, 2017, as amended February 23, 2017 (the "Prospectus"). Each subscription right entitled its holder to purchase 0.335297256 Ordinary Shares at a subscription price of $3.00 per whole Ordinary Share.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RESSLER RICHARD S
C/O PRESBIA PLC, SANDYFORD OFFICE CENTRE
SUITE 7, 17 CORRIG ROAD
DUBLIN 2, L2 00000
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X
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X
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Signatures
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/s/ David L. Goret, attorney in fact for Richard Ressler
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4/13/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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