0001140361-17-046235.txt : 20171214
0001140361-17-046235.hdr.sgml : 20171214
20171214161647
ACCESSION NUMBER: 0001140361-17-046235
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171212
FILED AS OF DATE: 20171214
DATE AS OF CHANGE: 20171214
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: 171256378
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
2017-12-12
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
2017-12-12
4
A
0
12500
0
A
50300
D
ADSs
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
Stock Option (right to buy)
8.95
2017-12-12
4
A
0
60000
8.95
A
2027-12-12
ADSs
60000
60000
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.
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; (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; and (c) 12,500 restricted shares granted under the issuer's Omnibus Incentive Compensation Plan on 12/12/2017, under which 8,333 ADSs will vest and be issued on the second anniversary of the grant date and the remaining 4,167 ADSs will vest and be issued on the third anniversary of the grant date (with vesting of these restricted shares subject to the reporting person remaining in continuous service until the applicable anniversary of the date of grant).
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. The reporting person disclaims beneficial ownership of such securities except to the extent of any pecuniary interest therein.
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.
Options become exercisable as to 15,000 ADSs on each of the first four anniversaries after the 12/12/2017 grant date.
Sr. VP, Quality and Reg. Affairs.
/s/ Phillandas T. Thompson, as attorney-in-fact for Sandra L. Hatten
2017-12-14