0001140361-16-087612.txt : 20161122
0001140361-16-087612.hdr.sgml : 20161122
20161122170137
ACCESSION NUMBER: 0001140361-16-087612
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161121
FILED AS OF DATE: 20161122
DATE AS OF CHANGE: 20161122
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FLAMEL TECHNOLOGIES SA
CENTRAL INDEX KEY: 0001012477
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: PARC CLUB DU MOULIN A VENT
STREET 2: 33 AVE DU DOCTEUR GEORGES LEVY
CITY: VENISSIEUX CED
STATE: I0
ZIP: 69693
BUSINESS PHONE: 2126641666
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ANDERSON MICHAEL S
CENTRAL INDEX KEY: 0001144178
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28508
FILM NUMBER: 162013917
MAIL ADDRESS:
STREET 1: 101 S. MAIN ST
STREET 2: SUITE 300
CITY: VICTORIA
STATE: TX
ZIP: 77902
4
1
doc1.xml
FORM 4
X0306
4
2016-11-21
0
0001012477
FLAMEL TECHNOLOGIES SA
FLML
0001144178
ANDERSON MICHAEL S
33, AVENUE DU DOCTEUR GEORGES LEVY
VENISSIEUX
I0
69200
FRANCE
1
1
0
0
Chief Executive Officer
ADSs
2016-11-21
4
P
0
2000
10.637
A
193250
D
Stock Option (right to buy)
6.93
2022-03-08
ADSs
275000
275000
D
Stock Option (right to buy)
4.07
2023-02-01
ADSs
80500
80500
D
Stock Option (right to buy)
16.3
2024-12-11
ADSs
200000
200000
D
Stock Option (right to buy)
14.35
2025-12-10
ADSs
200000
200000
D
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 price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.625 to $10.64, inclusive. The reporting person undertakes to provide to Flamel Technologies S.A., any security holder of Flamel Technologies S.A., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2).
Includes (a) 50,000 restricted ADSs granted under the issuer's "Free Share" award program on 12/11/2014, all of which will be issued to the reporting person on the fourth anniversary of the grant date, provided that the reporting person continues to be employed by the issuer or an affiliate thereof on the second anniversary of the grant date; and (b) 50,000 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.
Options became exercisable in four equal amounts over the first four anniversaries after the 03/08/2012 grant date.
Options become exercisable as to 20,125 ADSs on each of the first four anniversaries after the 02/01/2013 grant date.
Options become exercisable as to 50,000 ADSs on each of the first four anniversaries after the 12/11/2014 grant date.
Options become exercisable as to 50,000 ADSs on each of the first four anniversaries after the 12/10/2015 grant date.
/s/ Phillandas T. Thompson, as attorney-in-fact for Michael S. Anderson
2016-11-22