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AVADEL PHARMACEUTICALS PLC — Director's Dealing 2016
Dec 16, 2016
31920_dirs_2016-12-16_8fed9d9b-e968-4ab5-8c47-7ab157015750.zip
Director's Dealing
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SEC Form 4/A — Form 4/A
Issuer: FLAMEL TECHNOLOGIES SA (FLML)
CIK: 0001012477
Period of Report: 2016-12-14
Reporting Person: DAVIS GREGORY J. (See Remarks)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2016-12-14 | ADSs | A | 10000 | — | Acquired | 30000 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-12-14 | Stock Option (right to buy) | $10.40 | A | 65000 | Acquired | 2026-12-14 | ADSs (65000) | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $21.67 | 2025-06-26 | ADSs (50000) | 50000 | Direct |
| Stock Option (right to buy) | $14.35 | 2025-12-10 | ADSs (50000) | 50000 | Direct |
Footnotes
F1: The issuer's "ADSs" are American Depositary Shares, with each ADS representing one ordinary share, nominal value 0.122 Euros per share, of the issuer; ADSs are represented by American Depositary Receipts. The securities acquired as reported in this statement represent the grant of ADSs under the issuer's "Free Share" award program; no purchase price was applicable to such grant. See footnote (2) for details as to the dates such ADSs will be issued to the reporting person.
F2: Includes (a) 20,000 restricted ADSs granted under the issuer's "Free Share" award program on 8/10/2016, all of which will be issued to the reporting person on the second anniversary of the grant date; and (b) 10,000 restricted ADSs granted under the issuer's "Free Share" award program on 12/14/2016, all of which will be issued to the reporting person on the second anniversary of the grant date.
F3: Options become exercisable as to 12,500 ADSs on each of the first four anniversaries after the 06/26/2015 grant date.
F4: Options become exercisable as to 12,500 ADSs on each of the first four anniversaries after the 12/10/2015 grant date.
F5: Options become exercisable as to 16,250 ADSs on each of the first four anniversaries after the 12/14/2016 grant date.