Statement of Changes in Beneficial Ownership (4)
September 17 2021 - 4:03PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Glass Geoffrey Michael |
2. Issuer Name and Ticker or Trading Symbol
AVADEL PHARMACEUTICALS PLC
[
AVDL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O AVADEL PHARMACEUTICALS PLC, 10 EARLSFORT TERRACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
9/16/2021 |
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(Street)
DUBLIN 2, L2 D02 T380
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code
(Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) | 8. Price of Derivative Security
(Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (Right to Buy) | $8.07 | 9/16/2021 | | G |
V
| | 42000 | (1) | 8/3/2031 | ADSs (2) | 42000 | $0 | 0 | D | |
| Stock Option (Right to Buy) | $8.07 | | | | | | | (1) | 8/3/2031 | ADSs (2) | 42000 | | 42000 | I | By Trust (3) |
| Explanation of Responses: |
| (1) | Options shall vest in full on the earlier to occur of (a) August 3, 2022 or (b) the date of the next annual general meeting of shareholders following the date of grant, subject to the Reporting Person's continued service on the Board of Directors at such time. |
| (2) | 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. |
| (3) | On September 16, 2021, the reporting person transferred 42,000 options to a family trust of which the reporting person is trustee. The reporting person and members of his immediate family are the sole beneficiaries of the trust. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Glass Geoffrey Michael
C/O AVADEL PHARMACEUTICALS PLC
10 EARLSFORT TERRACE
DUBLIN 2, L2 D02 T380 | X |
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Signatures
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| /s/ Jerad Seurer, as attorney-in-fact | | 9/17/2021 |
| **Signature of Reporting Person | Date |
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