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