SEC Form 3 · accession 0001571049-17-000059
Innocoll Holdings plc · INNL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jose Carmona
Officer — CFO
Period of report
Jan 1, 2017
Accepted (ET)
Jan 3, 2017 · 5:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001660484
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares, par value $0.01 per shareF1 | holding | — | — | — | 240,142 | D |
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)F2 | $13.00 | holding | — | — | — | — | Sep 1, 2025 | Ordinary Shares | 277,985 | — | D |
| Stock Option (Right to Buy)F3 | $8.80 | holding | — | — | — | — | Mar 30, 2026 | Ordinary Shares | 149,725 | — | D |
Explanation of responses
- F1Includes restricted stock units.
- F2These options were granted on September 1, 2015 pursuant to the stock option plan maintained by the Issuer's predecessor, and reissued under the Issuer's 2016 Omnibus Incentive Compensation Plan (the "Plan"), and vest over a 3 year period, with 1/3 vesting on the first anniversary of the grant date, and the remainder vesting quarterly over the following 2 years. Unvested and vested shares underlying the option award are subject to forfeiture, accelerated vesting and other restrictions as more fully set forth in the Plan and each agreement pursuant to which the option award was issued.
- F3These options were granted on March 30, 2016, and vest over a 3 year period, with 1/3 vesting on the first anniversary of the grant date, and the remainder vesting quarterly over the following 2 years. Unvested and vested shares underlying the option award are subject to forfeiture, accelerated vesting and other restrictions as more fully set forth in the Plan and each agreement pursuant to which the option award was issued.
Remarks
The Reporting Person is filing this form in connection with the Issuer's transition from reporting as a foreign private issuer to reporting as a domestic issuer, effective January 1, 2017.