0001144204-16-102689.txt : 20160516 0001144204-16-102689.hdr.sgml : 20160516 20160516164054 ACCESSION NUMBER: 0001144204-16-102689 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160513 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FLAMEL TECHNOLOGIES SA CENTRAL INDEX KEY: 0001012477 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: PARC CLUB DU MOULIN A VENT STREET 2: 33 AVE DU DOCTEUR GEORGES LEVY CITY: VENISSIEUX CED STATE: I0 ZIP: 69693 BUSINESS PHONE: 2126641666 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: 000-28508 FILM NUMBER: 161654534 MAIL ADDRESS: STREET 1: 135 E. PUTNAM AVE CITY: GREENWICH STATE: CT ZIP: 06830 4 1 v440108_4.xml OWNERSHIP DOCUMENT X0306 4 2016-05-13 0 0001012477 FLAMEL TECHNOLOGIES SA FLML 0001207106 STAPLETON CRAIG R 33, AVENUE DU DOCTEUR GEORGES LEVY VENISSIEUX I0 69693 FRANCE 1 0 0 0 ADSs 2016-05-13 4 P 0 24813 9.211 A 507263 D ADSs 2016-05-16 4 P 0 2415 9.25 A 509678 D 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 2018-06-24 ADSs 117449 117449 D The issuer's "ADSs" are American Depositary Shares, with each ADS representing one ordinary share, nominal value 0.122 Euros per share, of the issuer; ADSs are 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 $8.99 to $9.25, inclusive. The reporting person undertakes to provide to Flamel Technologies S.A., any security holder of Flamel Technologies S.A., 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). 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 are not exercisable until the first anniversary of the date of grant; on such first anniversary the warrants will become 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 as to all 117,449 ADSs vest on 06/26/2016. /s/ Phillandas T. Thompson, as attorney-in-fact for Craig R. Stapleton 2016-05-16