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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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
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
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

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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

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.
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.
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.
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.
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.
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.