0001140361-16-080626.txt : 20160923
0001140361-16-080626.hdr.sgml : 20160923
20160923164432
ACCESSION NUMBER: 0001140361-16-080626
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160922
FILED AS OF DATE: 20160923
DATE AS OF CHANGE: 20160923
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: FILDES FRANCIS
CENTRAL INDEX KEY: 0001661786
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-28508
FILM NUMBER: 161900275
MAIL ADDRESS:
STREET 1: 33 AVENUE DU DR. GEORGES LEVY
CITY: VENISSIEUX
STATE: I0
ZIP: 69200
4
1
doc1.xml
FORM 4
X0306
4
2016-09-22
0
0001012477
FLAMEL TECHNOLOGIES SA
FLML
0001661786
FILDES FRANCIS
C/O FLAMEL TECHNOLOGIES S.A.
33 AVENUE DU DR. GEORGES LEVY
VENISSIEUX
I0
69693
FRANCE
1
0
0
0
ADSs
2016-09-22
4
S
0
15000
13.45
D
15000
D
Warrants (right to buy)
14.54
2015-06-24
2018-06-24
ADSs
46000
46000
D
Warrants (right to buy)
21.67
2016-06-26
2018-06-26
ADSs
54026
54026
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.
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 46,000 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 54,026 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 54,026 ADSs vest on 06/26/2016.
/s/ Phillandas T. Thompson, as attorney-in-fact for Francis Fildes
2016-09-23