0001144204-16-121745.txt : 20160829
0001144204-16-121745.hdr.sgml : 20160829
20160829161127
ACCESSION NUMBER: 0001144204-16-121745
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160826
FILED AS OF DATE: 20160829
DATE AS OF CHANGE: 20160829
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: 161857932
MAIL ADDRESS:
STREET 1: 135 E. PUTNAM AVE
CITY: GREENWICH
STATE: CT
ZIP: 06830
4
1
v447920_4.xml
FORM 4
X0306
4
2016-08-26
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
509678
D
ADSs
2016-08-26
4
P
0
10878
13.83
A
10878
I
By Spouse
ADSs
2016-08-26
4
P
0
9122
13.67
A
20000
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
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 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 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
2016-08-29