0001140361-16-090366.txt : 20161220 0001140361-16-090366.hdr.sgml : 20161220 20161220160546 ACCESSION NUMBER: 0001140361-16-090366 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161219 FILED AS OF DATE: 20161220 DATE AS OF CHANGE: 20161220 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: STAPLETON CRAIG R CENTRAL INDEX KEY: 0001207106 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-28508 FILM NUMBER: 162061485 MAIL ADDRESS: STREET 1: 135 E. PUTNAM AVE CITY: GREENWICH STATE: CT ZIP: 06830 4 1 doc1.xml FORM 4 X0306 4 2016-12-19 0 0001012477 FLAMEL TECHNOLOGIES SA FLML 0001207106 STAPLETON CRAIG R 33, AVENUE DU DOCTEUR GEORGES LEVY VENNISSIEUX I0 69693 FRANCE 1 0 0 0 ADSs 2016-12-19 4 G 0 5400 0 D 514278 D ADSs 2016-12-19 4 G 0 8100 0 D 506178 D ADSs 2016-12-19 4 G 0 13500 0 D 492678 D ADSs 2016-12-19 4 G 0 5400 0 D 34600 I By Spouse ADSs 2016-12-19 4 G 0 8100 0 D 26500 I By Spouse ADSs 2016-12-19 4 G 0 13500 0 A 40000 I By Spouse ADSs 2016-12-19 4 G 0 16200 0 A 16200 I By Trust Warrants (right to buy) 14.54 2015-06-24 2018-06-24 ADSs 100000 100000 D Warrants (right to buy) 14.54 2016-06-24 2018-06-24 ADSs 117449 117449 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. Reflects the transfer of securities by the reporting person to his children. Reflects the transfer of securities by the reporting person to a family trust. Reflects the transfer of securities by the reporting person to his spouse. Reflects the transfer of securities by the reporting person's spouse to children of the reporting person. The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Reflects the transfer of securities by the reporting person's spouse to a family trust. Reflects the acquisition by the reporting person's spouse of securities transferred from the reporting person. Reflects the acquisition by a family trust of securities transferred from the reporting person and his spouse. Warrants were granted 06/24/2014 but were not exercisable until the first anniversary of the date of grant; on such first anniversary the warrants became exercisable for a 3-year period as to all 100,000 ADSs. The warrant exercise price per ADS may be paid in U.S. Dollars as shown in Item 4 of Table II or in Euros based on the exchange rate prevailing on the date of grant, or (euro)10.94 per ADS. Warrants were granted 06/26/2015 but are not exercisable until the first anniversary of the date of grant; on such first anniversary the warrants will become exercisable for a 3-year period as to all 117,449 ADSs. The warrant exercise price per ADS may be paid in U.S. Dollars as shown in Item 4 of Table II or in Euros based on the exchange rate prevailing on the date of grant, or (euro)19.34 per ADS. Warrants as to all 117,449 ADSs vest on 06/26/2016. /s/ Phillandas T. Thompson, as attorney-in-fact for Craig R. Stapleton 2016-12-20