0001140361-17-044178.txt : 20171129 0001140361-17-044178.hdr.sgml : 20171129 20171129163520 ACCESSION NUMBER: 0001140361-17-044178 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171127 FILED AS OF DATE: 20171129 DATE AS OF CHANGE: 20171129 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: 001-37977 FILM NUMBER: 171228696 MAIL ADDRESS: STREET 1: 55 OLD FIELD POINT ROAD STREET 2: SUITE 2 CITY: GREENWICH STATE: CT ZIP: 06830 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 2017-11-27 0 0001012477 AVADEL PHARMACEUTICALS PLC AVDL 0001207106 STAPLETON CRAIG R BLOCK 10-1, BLANCHARDSTOWN CORPORATE PARK, BALLYCOOLIN DUBLIN L2 15 IRELAND 1 0 0 0 ADSs 2017-11-27 4 S 0 254265 9.351 D 253413 D ADSs 110000 I By Spouse Warrants (right to buy) 14.54 2015-06-24 2018-06-24 ADSs 100000 100000 D Warrants (right to buy) 21.67 2016-06-26 2019-06-26 ADSs 117449 117449 D Warrants (right to buy) 13.59 2017-08-10 2020-08-10 ADSs 117449 117449 D Stock Option (right to buy) 10.51 2018-06-28 2022-06-28 ADSs 30000 30000 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. Reflects the transfer of ADSs of the issuer by the reporting person to a trust of which the trustees are two adult children of the reporting person who do not live in the reporting person's household. In consideration for the transfer of these ADSs, the trust gave the reporting person property with an aggregate value approximately equal to the market value of the transferred ADSs on the date of the transfer. 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. 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 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 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 were granted 08/10/2016 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 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) 12.16 per ADS. Warrants as to all 117,449 ADSs vested on 08/10/2017. Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date. /s/ Phillandas T. Thompson, as attorney-in-fact for Craig R. Stapleton 2017-11-29