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