0001140361-17-035672.txt : 20170915
0001140361-17-035672.hdr.sgml : 20170915
20170915161554
ACCESSION NUMBER: 0001140361-17-035672
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170912
FILED AS OF DATE: 20170915
DATE AS OF CHANGE: 20170915
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: 001-37977
FILM NUMBER: 171088130
MAIL ADDRESS:
STREET 1: 10-1 BLANCHARDSTOWN CORPORATE PARK
STREET 2: BALLYCOOLIN
CITY: DUBLIN
STATE: L2
ZIP: 15
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AVADEL PHARMACEUTICALS PLC
CENTRAL INDEX KEY: 0001012477
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: BLOCK 10-1 BLANCHARDSTOWN CORPORATE PARK
STREET 2: BALLYCOOLIN
CITY: DUBLIN
STATE: L2
ZIP: 15
BUSINESS PHONE: 636-449-1830
MAIL ADDRESS:
STREET 1: 16640 CHESTERFIELD GROVE ROAD
STREET 2: SUITE 200
CITY: CHESTERFIELD
STATE: MO
ZIP: 63005
FORMER COMPANY:
FORMER CONFORMED NAME: FLAMEL TECHNOLOGIES SA
DATE OF NAME CHANGE: 19960422
4
1
doc1.xml
FORM 4
X0306
4
2017-09-12
0
0001012477
AVADEL PHARMACEUTICALS PLC
AVDL
0001600771
Hatten Sandra L
BLOCK 10-1, BLANCHARDSTOWN
CORPORATE PARK, BALLYCOOLIN
DUBLIN
L2
15
IRELAND
0
1
0
0
See Remarks
ADSs
2017-09-12
4
P
0
2200
9.19
A
35200
D
ADSs
2017-09-13
4
P
0
500
9.346
A
35700
D
ADSs
2017-09-14
4
P
0
2100
9.359
A
37800
D
ADSs
2017-09-12
4
P
0
1200
9.15
A
3400
I
By Spouse
Stock Option (right to buy)
21.67
2025-06-26
ADSs
100000
100000
D
Stock Option (right to buy)
14.35
2025-12-10
ADSs
50000
50000
D
Stock Option (right to buy)
10.40
2026-12-14
ADSs
80000
80000
D
The issuer's "ADSs" are American Depositary Shares, with each ADS representing one ordinary share, nominal value $0.01 per share, of the issuer; ADSs may be 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 $9.188 to $9.19, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, 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) 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 (b) 10,000 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.
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.317 to $9.39, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, 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 (4).
The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.143 to $9.15, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, 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 (5).
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.
Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 06/26/2015 grant date.
Options become exercisable as to 12,500 ADSs on each of the first four anniversaries after the 12/10/2015 grant date.
Options become exercisable as to 20,000 ADSs on each of the first four anniversaries after the 12/14/2016 grant date.
Sr. VP, Quality and Reg. Affairs.
/s/ Phillandas T. Thompson, as attorney-in-fact for Sandra L. Hatten
2017-09-15