Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ABERCROMBIE & FITCH CO /DE/
Report date June 15, 2017 · Filed June 16, 2017
Section 16 reporting ended · disclosed 2017-06-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Phantom StockSEC Table II · derivative / convertible security | Direct | 32,660 |
Reported balance
After 2017-06-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-06-15 · Exercise / conversion · Acquired 8,043 · Balance 32,660 F1: Each share of phantom stock represents a right to receive one share of Issuer's common stock. F2: The shares of phantom stock become payable in the form of Common Stock of the Issuer upon the reporting person's termination of service as a director. F3: Total includes accrued dividends. |
| Restricted Stock UnitSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2017-06-15 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-06-15 · Exercise / conversion · Disposed 8,043 · Balance 0 F4: This award converts to Common Stock of the Issuer on a 1-for-1 basis. F5: Vests the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of phantom stock represents a right to receive one share of Issuer's common stock.
F2: The shares of phantom stock become payable in the form of Common Stock of the Issuer upon the reporting person's termination of service as a director.
F3: Total includes accrued dividends.
F4: This award converts to Common Stock of the Issuer on a 1-for-1 basis.
F5: Vests the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders.
AVADEL PHARMACEUTICALS PLC
Report date May 09, 2019 · Filed May 10, 2019
Section 16 reporting ended · disclosed 2019-05-10. Current position is not established by this disclosure.
No balance rows disclosed in this filing.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 01, 2018 Filed Aug 2, 2018 16:19 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 27,900 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-035141 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,228 F1 · security: 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. F2 · shares: Represents 27,900 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 08/01/2018; one-third (1/3) of the ADSs will vest on each of the first three anniversaries of the grant date. F3 · balance_after: Includes 57,315 restricted ADSs granted under the issuer's Omnibus Incentive Compensation Plan on 07/09/2018, under which one-third (1/3) of the ADSs will vest on each of the first three anniversaries of the grant date. Read SEC document |
| July 09, 2018 Filed Jul 11, 2018 17:35 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 57,315 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-18-032187 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,328 F1 · security: 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. F2 · shares: Represents 57,315 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. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 19:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 70,000 | $8.67 | $606,970.00 |
DisclosureSEC source: 0001140361-17-046810 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 180,000 F1 · security: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.75, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 19:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 70,000 | $8.67 | $606,970.00 |
DisclosureSEC source: 0001140361-17-046810 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,413 F1 · security: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.75, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 16:09 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 70,000 | $8.67 | $606,970.00 |
DisclosureSEC source: 0001140361-17-046734 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 180,000 F1 · security: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.75, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 16:09 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 70,000 | $8.67 | $606,970.00 |
DisclosureSEC source: 0001140361-17-046734 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,413 F1 · security: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.45 to $8.75, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| November 27, 2017 Filed Nov 29, 2017 16:35 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | SaleADSs | 254,265 | $9.35 | $2,377,632.02 |
DisclosureSEC source: 0001140361-17-044178 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,413 F1 · security: 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. F2 · kind: Reflects the transfer of ADSs of the issuer by the reporting person to a trust of which the trustees are two adult children of the reporting person who do not live in the reporting person's household. In consideration for the transfer of these ADSs, the trust gave the reporting person property with an aggregate value approximately equal to the market value of the transferred ADSs on the date of the transfer. F2 · price: Reflects the transfer of ADSs of the issuer by the reporting person to a trust of which the trustees are two adult children of the reporting person who do not live in the reporting person's household. In consideration for the transfer of these ADSs, the trust gave the reporting person property with an aggregate value approximately equal to the market value of the transferred ADSs on the date of the transfer. Read SEC document |
| September 12, 2017 Filed Sep 14, 2017 17:06 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 20,000 | $9.52 | $190,360.00 |
DisclosureSEC source: 0001140361-17-035546 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 110,000 F1 · security: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.14 to $9.84, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). F3 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| June 28, 2017 Filed Jun 30, 2017 16:20 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantStock Option (right to buy) · Derivative | 30,000 | $10.51 Strike: $10.51 | $315,300.00 |
DisclosureSEC source: 0001140361-17-026870 · doc1.xml · derivative · entry 7 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: ADSs · 30,000 shares Expires 2022-06-28 F6 · security: Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date. F6 · derivative.exercise_price: Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date. F6 · derivative.exercise_date: Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date. Read SEC document |
| June 28, 2017 Filed Mar 2, 2018 17:27 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantStock Option (right to buy) · Derivative | 35,000 | $10.51 Strike: $10.51 | $367,850.00 |
DisclosureSEC source: 0001140361-18-011731 · doc1.xml · derivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: ADSs · 35,000 shares Expires 2022-06-28 F1 · security: Options become exercisable as to all 35,000 ADSs on the first anniversary of the 06/28/2017 grant date. F1 · derivative.exercise_price: Options become exercisable as to all 35,000 ADSs on the first anniversary of the 06/28/2017 grant date. F1 · derivative.exercise_date: Options become exercisable as to all 35,000 ADSs on the first anniversary of the 06/28/2017 grant date. F2 · derivative.underlying: 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. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:12 UTC | ABERCROMBIE & FITCH CO /DE/ ANF · Entity 3771 | Exercise / conversionRestricted Stock Unit · Derivative | 8,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-011423 · doc4.xml · derivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class A Common Stock · 8,043 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: This award converts to Common Stock of the Issuer on a 1-for-1 basis. F5 · derivative.exercise_date: Vests the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders. F5 · derivative.expiration_date: Vests the earlier of the first anniversary of the date of grant or the next regularly scheduled annual meeting of stockholders. Read SEC document |
| June 15, 2017 Filed Jun 16, 2017 20:12 UTC | ABERCROMBIE & FITCH CO /DE/ ANF · Entity 3771 | Exercise / conversionPhantom Stock · Derivative | 8,043 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-011423 · doc4.xml · derivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,660 Underlying: Class A Common Stock · 8,043 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of phantom stock represents a right to receive one share of Issuer's common stock. F2 · derivative.exercise_date: The shares of phantom stock become payable in the form of Common Stock of the Issuer upon the reporting person's termination of service as a director. F2 · derivative.expiration_date: The shares of phantom stock become payable in the form of Common Stock of the Issuer upon the reporting person's termination of service as a director. F3 · balance_after: Total includes accrued dividends. Read SEC document |
| May 22, 2017 Filed May 22, 2017 18:17 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 16,900 | $9.76 | $164,944.00 |
DisclosureSEC source: 0001140361-17-021794 · doc1.xml · nonDerivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 90,000 F1 · security: 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. F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.66 to $10.00, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (5). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 19, 2017 Filed May 22, 2017 18:17 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 3,100 | $9.83 | $30,473.00 |
DisclosureSEC source: 0001140361-17-021794 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 73,100 F1 · security: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.75 to $9.89, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 18, 2017 Filed May 22, 2017 18:17 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | PurchaseADSs | 11,013 | $9.98 | $109,909.74 |
DisclosureSEC source: 0001140361-17-021794 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 70,000 F1 · security: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.78 to $10.00, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 17, 2017 Filed May 18, 2017 16:43 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 12,100 | $9.95 | $120,392.58 |
DisclosureSEC source: 0001140361-17-021376 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 58,987 F1 · security: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.88 to $10.00, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (4). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 16, 2017 Filed May 18, 2017 16:43 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 3,470 | $10.00 | $34,700.00 |
DisclosureSEC source: 0001140361-17-021376 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 46,887 F1 · security: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.99 to $10.00, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 15, 2017 Filed May 16, 2017 16:20 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 311 | $10.00 | $3,110.00 |
DisclosureSEC source: 0001140361-17-020996 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 43,417 F1 · security: 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. F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.99 to $10.00, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3). F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| May 12, 2017 Filed May 16, 2017 16:20 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 3,106 | $10.00 | $31,060.00 |
DisclosureSEC source: 0001140361-17-020996 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 43,106 F1 · security: 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. F2 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| April 04, 2017 Filed Apr 5, 2017 18:52 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 15,000 | $9.58 | $143,643.00 |
DisclosureSEC source: 0001140361-17-015039 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 507,678 F1 · security: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.54 to $9.69, inclusive. The reporting person undertakes to provide to Avadel Pharmaceuticals plc, any security holder of Avadel Pharmaceuticals plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 19:21 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 117,449 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001144204-17-000349 · v455905_4.xml · derivative · entry 5 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,449 Underlying: ADSs · 117,449 shares Expires 2019-06-26 F6 · security: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F6 · derivative.exercise_price: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F6 · derivative.exercise_date: 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 117,449 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 117,449 ADSs vest on 06/26/2016. Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 19:21 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 100,000 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001144204-17-000349 · v455905_4.xml · derivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: ADSs · 100,000 shares Expires 2018-06-24 F5 · security: 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 100,000 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. F5 · derivative.exercise_price: 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 100,000 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F5 · derivative.exercise_date: 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 100,000 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. Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 19:21 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 16,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000349 · v455905_4.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 16,200 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 19:21 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000349 · v455905_4.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 40,000 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 19:21 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 492,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000349 · v455905_4.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,678 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. Read SEC document |
| January 03, 2017 Filed Jan 13, 2017 16:41 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 117,449 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001140361-17-001887 · doc1.xml · derivative · entry 5 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,449 Underlying: ADSs · 117,449 shares Expires 2019-06-26 F6 · security: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F6 · derivative.exercise_price: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F6 · derivative.exercise_date: 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 117,449 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 117,449 ADSs vest on 06/26/2016. Read SEC document |
| January 03, 2017 Filed Jan 13, 2017 16:41 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 100,000 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001140361-17-001887 · doc1.xml · derivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: ADSs · 100,000 shares Expires 2018-06-24 F5 · security: 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 100,000 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. F5 · derivative.exercise_price: 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 100,000 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F5 · derivative.exercise_date: 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 100,000 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. Read SEC document |
| January 03, 2017 Filed Jan 13, 2017 16:41 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 16,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-001887 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 16,200 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Jan 13, 2017 16:41 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-001887 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 40,000 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Jan 13, 2017 16:41 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 492,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-001887 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,678 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 117,449 | $0.00 Strike: $13.59 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · derivative · entry 6 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,449 Underlying: ADSs · 117,449 shares Expires 2020-08-10 F7 · security: 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 117,449 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 117,449 ADSs vest on 08/10/2017. F7 · derivative.exercise_price: 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 117,449 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 117,449 ADSs vest on 08/10/2017. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F7 · derivative.exercise_date: 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 117,449 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 117,449 ADSs vest on 08/10/2017. F1 · derivative.underlying: 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. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 117,449 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · derivative · entry 5 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,449 Underlying: ADSs · 117,449 shares Expires 2019-06-26 F6 · security: 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 117,449 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 117,449 ADSs vested on 06/26/2016. F6 · derivative.exercise_price: 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 117,449 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 117,449 ADSs vested on 06/26/2016. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F6 · derivative.exercise_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 117,449 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 117,449 ADSs vested on 06/26/2016. F1 · derivative.underlying: 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. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantWarrants (right to buy) · Derivative | 100,000 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · derivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: ADSs · 100,000 shares Expires 2018-06-24 F5 · security: 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 100,000 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. F5 · derivative.exercise_price: 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 100,000 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F5 · derivative.exercise_date: 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 100,000 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. F1 · derivative.underlying: 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. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 16,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 16,200 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 40,000 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| January 03, 2017 Filed Feb 24, 2017 16:47 UTC Amendment | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | GrantADSs | 492,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-17-009173 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,678 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person filed a Form 4 solely to report dispositions of Flamel securities as a result of the Merger, and filed a Form 3 to reflect the reporting person's new status as a director and/or executive officer of Avadel. This Form 4 reports the reporting person's acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in the Form 4 referenced above or the acquisitions reported in this Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 14:45 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | Disposition to issuerWarrants (right to buy) · Derivative | 117,449 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001144204-17-000129 · v455604_form4.xml · derivative · entry 5 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: ADSs · 117,449 shares Expires 2018-06-24 F6 · security: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F6 · derivative.exercise_price: 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 117,449 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 117,449 ADSs vest on 06/26/2016. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person is filing this Form 4 solely to report dispositions of Flamel securities as a result of the Merger. The reporting person will also file a Form 3 to reflect his or her new status as a director and/or executive officer of Avadel, and a new Form 4 evidencing his or her acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in this Form 4 or the acquisitions to be reported in the new Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F6 · derivative.exercise_date: 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 117,449 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 117,449 ADSs vest on 06/26/2016. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 14:45 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | Disposition to issuerWarrants (right to buy) · Derivative | 100,000 | $0.00 Strike: $14.54 | $0.00 |
DisclosureSEC source: 0001144204-17-000129 · v455604_form4.xml · derivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: ADSs · 100,000 shares Expires 2018-06-24 F5 · security: 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 100,000 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. F5 · derivative.exercise_price: 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 100,000 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person is filing this Form 4 solely to report dispositions of Flamel securities as a result of the Merger. The reporting person will also file a Form 3 to reflect his or her new status as a director and/or executive officer of Avadel, and a new Form 4 evidencing his or her acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in this Form 4 or the acquisitions to be reported in the new Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F5 · derivative.exercise_date: 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 100,000 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. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 14:45 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | Disposition to issuerADSs | 16,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000129 · v455604_form4.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 0 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person is filing this Form 4 solely to report dispositions of Flamel securities as a result of the Merger. The reporting person will also file a Form 3 to reflect his or her new status as a director and/or executive officer of Avadel, and a new Form 4 evidencing his or her acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in this Form 4 or the acquisitions to be reported in the new Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 14:45 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | Disposition to issuerADSs | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000129 · v455604_form4.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 0 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person is filing this Form 4 solely to report dispositions of Flamel securities as a result of the Merger. The reporting person will also file a Form 3 to reflect his or her new status as a director and/or executive officer of Avadel, and a new Form 4 evidencing his or her acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in this Form 4 or the acquisitions to be reported in the new Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. F4 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 31, 2016 Filed Jan 3, 2017 14:45 UTC | AVADEL PHARMACEUTICALS PLC AVDL · Entity 65991 | Disposition to issuerADSs | 492,678 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-17-000129 · v455604_form4.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · security: 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. F2 · kind: On 12/31/16, Flamel Technologies S.A. ("Flamel") merged with and into Avadel Pharmaceuticals plc ("Avadel"). As a result of the Merger, Flamel's outstanding ordinary shares were cancelled and exchanged on a 1-for-1 basis for newly issued ordinary shares of Avadel, and all outstanding American Depositary Shares (ADSs) representing Flamel ordinary shares were cancelled and exchanged on a 1-for-1 basis for ADSs representing Avadel ordinary shares. The reporting person is filing this Form 4 solely to report dispositions of Flamel securities as a result of the Merger. The reporting person will also file a Form 3 to reflect his or her new status as a director and/or executive officer of Avadel, and a new Form 4 evidencing his or her acquisition of the same number and type of securities of Avadel in the Merger. The reporting person made no market sales or purchases in connection with the dispositions reported in this Form 4 or the acquisitions to be reported in the new Form 4. F3 · price: Flamel Ordinary Shares and Flamel ADSs were exchanged in the Merger for an equal number of Avadel Ordinary Shares and Avadel ADSs (as applicable), respectively. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 16,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 7 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Trust Disclosed balance after: 16,200 F1 · security: 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. F9 · kind: Reflects the acquisition by a family trust of securities transferred from the reporting person and his spouse. F6 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 13,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 6 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 40,000 F1 · security: 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. F8 · kind: Reflects the acquisition by the reporting person's spouse of securities transferred from the reporting person. F6 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 8,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 5 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 26,500 F1 · security: 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. F7 · kind: Reflects the transfer of securities by the reporting person's spouse to a family trust. F6 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 5,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 4 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 34,600 F1 · security: 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. F5 · kind: Reflects the transfer of securities by the reporting person's spouse to children of the reporting person. F6 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 13,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,678 F1 · security: 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. F4 · kind: Reflects the transfer of securities by the reporting person to his spouse. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 8,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 506,178 F1 · security: 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. F3 · kind: Reflects the transfer of securities by the reporting person to a family trust. Read SEC document |
| December 19, 2016 Filed Dec 20, 2016 16:05 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | GiftADSs | 5,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001140361-16-090366 · doc1.xml · nonDerivative · entry 1 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 514,278 F1 · security: 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. F2 · kind: Reflects the transfer of securities by the reporting person to his children. Read SEC document |
| November 29, 2016 Filed Nov 30, 2016 16:18 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | PurchaseADSs | 10,000 | $10.85 | $108,500.00 |
DisclosureSEC source: 0001140361-16-088251 · doc1.xml · nonDerivative · entry 3 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 40,000 F1 · security: 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. F3 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
| November 28, 2016 Filed Nov 30, 2016 16:18 UTC | AVADEL PHARMACEUTICALS PLC FLML · Entity 65991 | PurchaseADSs | 10,000 | $10.74 | $107,370.00 |
DisclosureSEC source: 0001140361-16-088251 · doc1.xml · nonDerivative · entry 2 STAPLETON CRAIG R · CIK 0001207106 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 30,000 F1 · security: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.69 to $10.75, inclusive. The reporting person undertakes to provide to Flamel Technologies S.A., any security holder of Flamel Technologies S.A., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2). F3 · ownership.nature: The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.