0001567619-19-006618.txt : 20190311 0001567619-19-006618.hdr.sgml : 20190311 20190311191608 ACCESSION NUMBER: 0001567619-19-006618 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190307 FILED AS OF DATE: 20190311 DATE AS OF CHANGE: 20190311 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMPSON PHILLANDAS T. CENTRAL INDEX KEY: 0001661781 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37977 FILM NUMBER: 19673608 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 2019-03-07 0 0001012477 AVADEL PHARMACEUTICALS PLC AVDL 0001661781 THOMPSON PHILLANDAS T. BLOCK 10-1, BLANCHARDSTOWN CORPORATE PARK, BALLYCOOLIN DUBLIN L2 15 IRELAND 0 1 0 0 See Remarks ADSs 2019-03-07 4 A 0 18000 0 A 113671 D Stock Option (right to buy) 7.36 2023-12-12 ADSs 100000 100000 D Stock Option (right to buy) 16.3 2024-12-11 ADSs 95000 95000 D Stock Option (right to buy) 14.35 2025-12-10 ADSs 100000 100000 D Stock Option (right to buy) 10.4 2026-12-14 ADSs 100000 100000 D Stock Option (right to buy) 8.95 2027-12-12 ADSs 80000 80000 D Stock Option (right to buy) 1.85 2019-03-07 4 A 0 100000 1.85 A 2029-03-07 ADSs 100000 100000 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) 10,000 restricted ADSs granted under the issuer's "Free Share" award program on 12/11/2014, all of which were issued to the reporting person on the 4th anniversary of the grant date; (b) 20,000 restricted ADSs granted under the "Free Share" award program on 8/10/2016, all of which were issued to the reporting person on the 2nd anniversary of the grant date; (c) 18,000 restricted ADSs granted under the "Free Share" award program on 12/14/2016, all of which were issued to the reporting person on the 2nd anniversary of the grant date; (d) 18,000 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 12/12/2017, of which 12,000 and 6,000 ADSs will vest and be issued to the reporting person on the 2nd anniversary and 3rd anniversary, respectively, of the grant date (with such vesting subject to the reporting person remaining in continuous service until the applicable anniversary); [continued in footnote 3 below] (e) 3,000 and 1,671 ADSs acquired under the issuer's 2017 Employee Share Purchase Plan on 7/5/2018 and 1/8/2019, respectively; and (f) 18,000 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 3/7/2019, of which 12,000 and 6,000 ADSs will vest and be issued to the reporting person on the 2nd anniversary and 3rd anniversary, respectively, of the grant date (with such vesting subject to the reporting person remaining in continuous service until the applicable anniversary). Options became exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/12/2013 grant date. Options became exercisable as to 23,750 ADSs on each of the first four anniversaries after the 12/11/2014 grant date. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/10/2015 grant date. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 12/14/2016 grant date. Options become exercisable as to 20,000 ADSs on each of the first four anniversaries after the 12/12/2017 grant date. Options become exercisable as to 25,000 ADSs on each of the first four anniversaries after the 3/7/2019 grant date. Sr. VP, General Counsel and Corporate Secretary. /s/ Phillandas T. Thompson 2019-03-11