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