0001567619-18-008241.txt : 20181218 0001567619-18-008241.hdr.sgml : 20181218 20181218160430 ACCESSION NUMBER: 0001567619-18-008241 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181214 FILED AS OF DATE: 20181218 DATE AS OF CHANGE: 20181218 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GUSKY DAVID P CENTRAL INDEX KEY: 0001667465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37977 FILM NUMBER: 181240561 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 2018-12-14 0 0001012477 AVADEL PHARMACEUTICALS PLC AVDL 0001667465 GUSKY DAVID P BLOCK 10-1, BLANCHARDSTOWN CORPORATE PARK, BALLYCOOLIN DUBLIN L2 15 IRELAND 0 1 0 0 Controller & CAO ADSs 2018-12-14 4 S 0 617 2.6834 D 4083 D Stock Option (right to buy) 7.85 2026-03-02 ADSs 50000 50000 D Stock Option (right to buy) 10.4 2026-12-14 ADSs 14000 14000 D Stock Option (right to buy) 8.95 2027-12-12 ADSs 12600 12600 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. On December 14, 2018, the reporting person sold 617 ADSs in connection with the payment of certain withholding taxes related to the vesting of restricted ADSs that were granted to the reporting person on December 14, 2016 (such grant was reported by the reporting person on a Form 4 filed on December 16, 2016). Includes (a) 2,000 ADSs granted under the issuer's "Free Share" award program as restricted ADSs on 12/14/2016, all of which were issued to the reporting person on the second anniversary of the grant date; in connection with the payment of certain withholding taxes related to such issuance, the reporting person sold 617 ADSs on December 14, 2018; and (b) 2,700 restricted shares granted under the issuer's Omnibus Incentive Compensation Plan on 12/12/2017, under which 1,800 ADSs will vest and be issued on the second anniversary of the grant date and the remaining 900 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 become exercisable as to 12,500 ADSs on each of the first four anniversaries after the 03/02/2016 grant date. Options become exercisable as to 3,500 ADSs on each of the first four anniversaries after the 12/14/2016 grant date. Options become exercisable as to 3,150 ADSs on each of the first four anniversaries after the 12/12/2017 grant date. /s/ Phillandas T. Thompson, as attorney-in-fact for David P. Gusky 2018-12-18