SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 11/01/2016 | 3. Issuer Name and Ticker or Trading Symbol Endo International plc [ ENDP ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Ordinary Shares | 19,022 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(1) | 1,071 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(2) | 2,289 | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
2015 Stock Incentive Plan Stock Options (NQ)(3) | (3) | 10/01/2025 | Ordinary Shares | 5,162 | 70.02 | D | |
2015 Stock Incentive Plan Stock Options (NQ)(4) | (4) | 02/23/2026 | Ordinary Shares | 7,723 | 50.22 | D |
Explanation of Responses: |
1. 1,428 restricted stock units (RSUs) were granted to Mr. Pera on October 1, 2015 under the 2015 Stock Incentive Plan. These RSUs generally vest 25% per year on each of October 1, 2016, October 1, 2017, October 1, 2018 and October 1, 2019. Upon vesting, we consider the underlying RSUs to be expired. As of November 1, 2016 (the date of Mr. Pera's appointment as an executive officer of Endo International plc), 357 RSUs were vested and released. |
2. These RSUs were granted to Mr. Pera on February 23, 2016 under the 2015 Stock Incentive Plan. They vest 25% annually at each future grant date anniversary through February 23, 2020. Upon vesting, we consider the underlying RSUs to be expired. |
3. These non-qualified stock options were granted to Mr. Pera on October 1, 2015 under the 2015 Stock Incentive Plan. These non-qualified stock options generally vest 25% per year on each of October 1, 2016, October 1, 2017, October 1, 2018 and October 1, 2019. As of November 1, 2016, 1,291 non-qualified stock options were vested. |
4. These non-qualified stock options were granted to Mr. Pera on February 23, 2016 under the 2015 Stock Incentive Plan. These stock options vest 25% per year on each grant date anniversary through February 23, 2020. |
Remarks: |
On November 1, 2016, Endo International plc appointed Mr. Pera as President, Par Pharmaceutical, effective November 1, 2016. These securities represent the amounts owned by Mr. Pera as of November 1, 2016, the date of his appointment. |
/s/ Matthew J. Maletta, by power of attorney | 11/08/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |