ESTA Establishment Labs

Filed: 1 Jul 20, 4:45pm

Washington, D.C. 20549
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
June 26, 2020
Date of Report (date of earliest event reported)

Establishment Labs Holdings Inc.
(Exact name of registrant as specified in its charter)
British Virgin Islands001-38593Not applicable
(State or other jurisdiction of
incorporation or organization)
(Commission File No.)

(I.R.S. Employer
Identification Number)
Building B15 and 25
Coyol Free Zone
Costa Rica
(Address of principal executive offices) (Zip Code)
 +506 2434 2400 
 (Registrant’s telephone number, including area code) 
(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8‑K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading symbolName of each exchange on which registered
Common Shares, No Par ValueESTAThe NASDAQ Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2) of this chapter.
Emerging growth company x
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

Item 5.02         Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Stock Option Grants

On June 26, 2020, the Compensation Committee approved the grant of stock options to certain of our executive officers. The following table sets forth the number of shares underlying the stock option grants to certain named executive officers:

Named Executive Officer Position Stock Options
Renee M. Gaeta Chief Financial Officer 35,000

The stock options described above were granted under our 2018 Equity Incentive Plan and have a per share exercise price equal to $17.03, the closing price of our common shares as reported on The Nasdaq Capital Market on June 26, 2020.

The grant of 35,000 options for Renee M. Gaeta is subject to a four-year vesting schedule, with 25% vesting one year after a vesting commencement date of June 26, 2020 and 25% each one year anniversary thereafter, subject to her continued service with us.

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated:July 1, 2020 By:/s/ Renee M. Gaeta
   Name:Renee M. Gaeta
   Title:Chief Financial Officer