0001140361-17-026880.txt : 20170630 0001140361-17-026880.hdr.sgml : 20170630 20170630163005 ACCESSION NUMBER: 0001140361-17-026880 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170628 FILED AS OF DATE: 20170630 DATE AS OF CHANGE: 20170630 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 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: 001-37977 FILM NUMBER: 17942596 MAIL ADDRESS: STREET 1: 10-1 BLANCHARDSTOWN CORPORATE PARK STREET 2: BALLYCOOLIN CITY: DUBLIN STATE: L2 ZIP: 15 4 1 doc1.xml FORM 4 X0306 4 2017-06-28 0 0001012477 AVADEL PHARMACEUTICALS PLC AVDL 0001661786 FILDES FRANCIS BLOCK 10-1, BLANCHARDSTOWN CORPORATE PARK, BALLYCOOLIN DUBLIN L2 15 IRELAND 1 0 0 0 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 Warrants (right to buy) 13.59 2017-08-10 2020-08-10 ADSs 35458 35468 D Stock Option (right to buy) 10.51 2017-06-28 4 A 0 30000 10.51 A 2018-06-28 2022-06-28 ADSs 30000 30000 D 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. 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. Warrants were granted 06/26/2015 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 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 were granted 08/10/2016 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 35,468 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) 12.16 per ADS. Warrants as to all 35,468 ADSs vest on 08/10/2017. Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date. No non-derivative securities are beneficially owned. /s/ Phillandas T. Thompson, as attorney-in-fact for Francis Fildes 2017-06-30