Filing Details
- Accession Number:
- 0001140361-16-088251
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-11-30 16:18:08
- Reporting Period:
- 2016-11-28
- Filing Date:
- 2016-11-30
- Accepted Time:
- 2016-11-30 16:18:08
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1012477 | Flamel Technologies Sa | FLML | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1207106 | R Craig Stapleton | 33, Avenue Du Docteur Georges Levy Vennissieux I0 69693 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Adss | Acquisiton | 2016-11-28 | 10,000 | $10.74 | 30,000 | No | 4 | P | Indirect | By Spouse |
| Adss | Acquisiton | 2016-11-29 | 10,000 | $10.85 | 40,000 | No | 4 | P | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Spouse |
| No | 4 | P | Indirect | By Spouse |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Adss | 519,678 | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Adss | Warrants (right to buy) | $14.54 | 2015-06-24 | 2018-06-24 | 100,000 | 100,000 | Direct |
| Adss | Warrants (right to buy) | $14.54 | 2016-06-24 | 2018-06-24 | 117,449 | 117,449 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2018-06-24 | 100,000 | 100,000 | Direct |
| 2018-06-24 | 117,449 | 117,449 | Direct |
Footnotes
- 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.
- 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).
- 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.
- 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.
- 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.
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