0001140361-18-030201.txt : 20180627
0001140361-18-030201.hdr.sgml : 20180627
20180627190220
ACCESSION NUMBER: 0001140361-18-030201
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180626
FILED AS OF DATE: 20180627
DATE AS OF CHANGE: 20180627
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ANDERSON MICHAEL S
CENTRAL INDEX KEY: 0001144178
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37977
FILM NUMBER: 18922849
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
2018-06-26
0
0001012477
AVADEL PHARMACEUTICALS PLC
AVDL
0001144178
ANDERSON MICHAEL S
BLOCK 10-1, BLANCHARDSTOWN
CORPORATE PARK, BALLYCOOLIN
DUBLIN
L2
15
IRELAND
1
1
0
0
Chief Executive Officer
ADSs
2018-06-26
4
P
0
2500
6.04
A
265250
D
Stock Option (right to buy)
6.93
2022-03-08
ADSs
275000
275000
D
Stock Option (right to buy)
4.07
2023-02-01
ADSs
80500
80500
D
Stock Option (right to buy)
16.3
2024-12-11
ADSs
200000
200000
D
Stock Option (right to buy)
14.35
2025-12-10
ADSs
200000
200000
D
Stock Option (right to buy)
10.4
2026-12-14
ADSs
200000
200000
D
Stock Option (right to buy)
8.95
2027-12-12
ADSs
150000
150000
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 $5.98 to $6.21, 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) 50,000 restricted ADSs granted under the issuer's "Free Share" award program on 12/11/2014, all of which will be issued to the reporting person on the fourth anniversary of the grant date; (b) 50,000 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; (c) 30,000 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 [continued in footnote 4 below]
(d) 25,000 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 12/12/2017, under which 16,666 ADSs will vest and be issued on the second anniversary of the grant date and the remaining 8,334 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).
Options became exercisable in four equal amounts over the first four anniversaries after the 03/08/2012 grant date.
Options became exercisable in four equal amounts over the first four anniversaries after the 02/01/2013 grant date.
Options become exercisable as to 50,000 ADSs on each of the first four anniversaries after the 12/11/2014 grant date.
Options become exercisable as to 50,000 ADSs on each of the first four anniversaries after the 12/10/2015 grant date.
Options become exercisable as to 50,000 ADSs on each of the first four anniversaries after the 12/14/2016 grant date.
Options become exercisable as to 37,500 ADSs on each of the first four anniversaries after the 12/12/2017 grant date.
/s/ Phillandas T. Thompson, as attorney-in-fact for Michael S. Anderson
2018-06-27