SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
RESSLER RICHARD S

(Last) (First) (Middle)
C/O PRESBIA PLC
120/121 BAGGOT STREET LOWER

(Street)
DUBLIN L2 2

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Presbia PLC [ LENS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
03/08/2017
4. 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares 03/08/2017 X 1,065,852(1) A $3 4,249,280 D
Ordinary Shares 03/08/2017 X 1,562,370(2) A $3 6,222,030 I See Note(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Subscription Rights (right to buy) $3 03/08/2017 X 3,178,829(4) 02/06/2017 03/08/2017 Ordinary Shares 1,065,852 $0 0 D
Subscription Rights (right to buy) $3 03/08/2017 X 4,659,660(4) 02/06/2017 03/08/2017 Ordinary Shares 1,562,370 $0 0 I See Note(3)
Explanation of Responses:
1. On March 8, 2017, the Reporting Person delivered to the Issuer an irrevocable notice of exercise of his subscription rights to purchase 1,065,852 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").
2. On March 8, 2017, Orchard Alternative Investments LP, a Delaware limited partnership, ("Orchard Alternative") and Orchard Investments LLC, a Delaware limited liability company ("Orchard Investments") delivered to the Issuer an irrevocable notice of exercise of their subscription rights to purchase 1,562,370 Ordinary Shares, together with payment of the requisite fee, pursuant to the rights offering set forth in the Prospectus.
3. The Reporting Person, directly and/or indirectly, possesses the sole power to vote and the sole power to direct the disposition of all securities of Issuer held by Orchard Alternative and Orchard Investments. The Reporting Person's interest in the securities reported herein which are held by Orchard Alternative and Orchard Investments is limited to the extent of his pecuniary interest in such entities.
4. Each subscription right entitled its holder to purchase 0.335297256 Ordinary Shares at a subscription price of $3.00 per whole Ordinary Share.
/s/ David L. Goret, attorney-in-fact for Richard Ressler 03/10/2017
** 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 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).
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