4/A//SEC Filing
STAPLETON CRAIG R 4/A
Accession 0001140361-17-046810
CIK 0001012477other
Filed
Dec 18, 7:00 PM ET
Accepted
Dec 19, 7:47 PM ET
Size
15.3 KB
Accession
0001140361-17-046810
Insider Transaction Report
Form 4/AAmended
STAPLETON CRAIG R
Director
Transactions
- Purchase
ADSs
2017-12-15$8.67/sh+70,000$606,970→ 323,413 total - Purchase
ADSs
2017-12-15$8.67/sh+70,000$606,970→ 180,000 total(indirect: By Spouse)
Holdings
- 100,000
Warrants (right to buy)
Exercise: $14.54From: 2015-06-24Exp: 2018-06-24→ ADSs (100,000 underlying) - 117,449
Warrants (right to buy)
Exercise: $21.67From: 2016-06-26Exp: 2019-06-26→ ADSs (117,449 underlying) - 117,449
Warrants (right to buy)
Exercise: $13.59From: 2017-08-10Exp: 2020-08-10→ ADSs (117,449 underlying) - 30,000
Stock Option (right to buy)
Exercise: $10.51From: 2018-06-28Exp: 2022-06-28→ ADSs (30,000 underlying)
Footnotes (8)
- [F1]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]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).
- [F3]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]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.
- [F5]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.
- [F6]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.
- [F7]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 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 vested on 08/10/2017.
- [F8]Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date.
Documents
Issuer
AVADEL PHARMACEUTICALS PLC
CIK 0001012477
Entity typeother
Related Parties
1- filerCIK 0001207106
Filing Metadata
- Form type
- 4/A
- Filed
- Dec 18, 7:00 PM ET
- Accepted
- Dec 19, 7:47 PM ET
- Size
- 15.3 KB