FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 03/06/2020 |
3. Issuer Name and Ticker or Trading Symbol
Endo International plc [ ENDP ] |
|||||||||||||
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Beneficially Owned | |||
---|---|---|---|
1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary Shares | 11,887 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(1) | 4,861 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(2) | 41,666 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(3) | 26,805 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2015 Stock Incentive Plan Options (NQ)(4) | (4) | 02/23/2021 | Ordinary Shares | 3,360 | $33.98 | D | |
2015 Stock Incentive Plan Options (NQ)(5) | (5) | 02/26/2021 | Ordinary Shares | 3,432 | $79.33 | D | |
2015 Stock Incentive Plan Options (NQ)(6) | (6) | 02/22/2022 | Ordinary Shares | 6,635 | $34.7 | D | |
2015 Stock Incentive Plan Options (NQ)(7) | (7) | 02/24/2022 | Ordinary Shares | 2,976 | $85.25 | D | |
2015 Stock Incentive Plan Options (NQ)(8) | (8) | 02/23/2026 | Ordinary Shares | 5,872 | $50.22 | D | |
2015 Stock Incentive Plan Options (NQ)(9) | (9) | 05/16/2026 | Ordinary Shares | 9,536 | $14.3 | D | |
2015 Stock Incentive Plan Options (NQ)(10) | (10) | 02/21/2027 | Ordinary Shares | 18,424 | $13.19 | D | |
2015 Stock Incentive Plan Options (NQ)(11) | (11) | 08/10/2027 | Ordinary Shares | 33,143 | $7.55 | D |
Explanation of Responses: |
1. On August 10, 2017, 14,583 RSUs were granted to Mr. Bradley with one-third vesting, and thus expiring, on each of the first three grant date anniversaries. As of March 6, 2020, 9,722 RSUs were vested and released. The amount reported in Table I represents the unvested portion as of that date. |
2. On April 2, 2018, 62,500 RSUs were granted to Mr. Bradley with one-third vesting, and thus expiring, on each of the first three grant date anniversaries. As of March 6, 2020, 20,834 RSUs were vested and released. The amount reported in Table I represents the unvested portion as of that date. |
3. On March 29, 2019, 26,805 RSUs were granted to Mr. Bradley with one-third vesting, and thus expiring, on each of the first three grant date anniversaries. As of March 6, 2020, no RSUs have vested or been released. The amount reported in Table I represents the unvested portion as of that date. |
4. On February 23, 2011, 4,480 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 4,480 non-qualified stock options had vested and 1,120 had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
5. On February 26, 2014, 3,432 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 3,432 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
6. On February 22, 2012, 6,635 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 6,635 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
7. On February 24, 2015, 2,976 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 2,976 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
8. On February 23, 2016, 5,872 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 5,872 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
9. On May 16, 2016, 9,536 non-qualified stock options were granted to Mr. Bradley with one-third vesting on each of the first three grant date anniversaries. As of March 6, 2020, 9,536 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
10. On February 21, 2017, 18,424 non-qualified stock options were granted to Mr. Bradley with one-fourth vesting on each of the first four grant date anniversaries. As of March 6, 2020, 13,818 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
11. On August 10, 2017, 33,143 non-qualified stock options were granted to Mr. Bradley with one-third vesting on each of the first three grant date anniversaries. As of March 6, 2020, 22,096 non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
Remarks: |
These securities represent the amounts owned by Mr. Bradley as of March 6, 2020, the date of effectiveness of his appointment as Executive Vice President and Chief Financial Officer of Endo International plc. |
/s/ Yoon Ah Oh, by power of attorney | 03/06/2020 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |