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