0001140361-16-090066.txt : 20161216 0001140361-16-090066.hdr.sgml : 20161216 20161216171729 ACCESSION NUMBER: 0001140361-16-090066 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161214 FILED AS OF DATE: 20161216 DATE AS OF CHANGE: 20161216 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: Hatten Sandra L CENTRAL INDEX KEY: 0001600771 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28508 FILM NUMBER: 162057139 MAIL ADDRESS: STREET 1: 675 MCDONNELL BLVD. CITY: HAZELWOOD STATE: MO ZIP: 63042 4 1 doc1.xml FORM 4 X0306 4 2016-12-14 0 0001012477 FLAMEL TECHNOLOGIES SA FLML 0001600771 Hatten Sandra L C/O FLAMEL TECHNOLOGIES S.A. 33 AVENUE DU DR. GEORGES LEVY VENISSIEUX I0 69200 FRANCE 0 1 0 0 See Remarks ADSs 2016-12-14 4 A 0 18000 A 58000 D Stock Option (right to buy) 7.36 2023-12-12 ADSs 100000 100000 D Stock Option (right to buy) 16.3 2024-12-11 ADSs 95000 95000 D Stock Option (right to buy) 14.35 2025-12-10 ADSs 100000 100000 D Stock Option (right to buy) 10.40 2016-12-14 4 A 0 100000 0 A 2026-12-14 ADSs 100000 100000 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 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. Includes (a) 10,000 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; (b) 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 (c) 18,000 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. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/12/2013 grant date. Options become exercisable as to 23,750 ADSs on each of the first four anniversaries after the 12/11/2014 grant date. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/10/2015 grant date. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/14/2016 grant date. Sr. VP, General Counsel and Corporate Secretary /s/ Phillandas T. Thompson 2016-12-16