0001140361-18-033024.txt : 20180720 0001140361-18-033024.hdr.sgml : 20180720 20180720160719 ACCESSION NUMBER: 0001140361-18-033024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180718 FILED AS OF DATE: 20180720 DATE AS OF CHANGE: 20180720 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: 18962563 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 2018-07-18 1 0001012477 AVADEL PHARMACEUTICALS PLC AVDL 0001661786 FILDES FRANCIS BLOCK 10-1, BLANCHARDSTOWN CORPORATE PARK, BALLYCOOLIN DUBLIN L2 15 IRELAND 0 0 0 1 See Remarks ADSs 26365 D Warrants (right to buy) 21.67 2016-06-26 2019-06-26 ADSs 54026 54026 D Warrants (right to buy) 13.59 2017-08-10 2020-08-10 ADSs 35468 35468 D Stock Option (right to buy) 10.51 2018-06-28 2022-06-28 ADSs 35000 35000 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. Represents 26,365 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 07/09/2018; one-third (1/3) of the ADSs will vest on each of the first three anniversaries of the grant date. 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 2 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 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 35,468 ADSs. The warrant exercise price per ADS may be paid in U.S. Dollars as shown in Item 2 of Table II or in Euros based on the exchange rate prevailing on the date of grant, or (euro) 12.16 per ADS. Options became exercisable as to all 35,000 ADSs on the first anniversary of the 06/28/2017 grant date. This Form 4 is being filed because the reporting person ceased to be a director of the Issuer as of July 18, 2018. /s/ Phillandas T. Thompson, as attorney-in-fact for Francis Fildes 2018-07-20