SEC Form 4 · accession 0001140361-17-026874
AVADEL PHARMACEUTICALS PLC · AVDL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Peter J. Thornton
Director
Period of report
Jun 28, 2017
Accepted (ET)
Jun 30, 2017 · 4:25 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001012477
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F2 | $10.51 | Jun 28, 2017 | A | 30,000 | A | Jun 28, 2018 | Jun 28, 2022 | ADSs | 30,000 | 30,000 | D |
Explanation of responses
- F1Options become exercisable as to all 30,000 ADSs on the first anniversary of the 06/28/2017 grant date.
- F2The 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.
Remarks
Remarks to Table I: No non-derivative securities are beneficially owned.