Statement of Changes in Beneficial Ownership (4)
January 06 2020 - 5:21PM
Edgar (US Regulatory)
FORM 4
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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
*
BUCHEN DAVID A |
2. Issuer Name and Ticker or Trading Symbol
Amneal Pharmaceuticals, Inc.
[
AMRX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) SVP, Chief Legal Officer |
(Last)
(First)
(Middle)
C/O AMNEAL PHARMACEUTICALS, INC. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/3/2020 |
(Street)
BRIDGEWATER, NJ 08807
(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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Class A Common Stock | 1/3/2020 | | M | | 27614 (1) | A | (2) | 28614 | D | |
Class A Common Stock | 1/3/2020 | | F | | 8188 (3) | D | $4.72 | 20426 | D | |
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 |
Restricted Stock Units | (2) | 1/3/2020 | | M | | | 27614 | (4) | (4) | Class A Common Stock | 27614.0 | $0 | 82843 | D | |
Explanation of Responses: |
(1) | Represents the gross number of shares of common stock awarded to the reporting person in connection with the vesting of restricted stock units. The actual number of shares issued was reduced by the number of shares withheld to satisfy tax withholding obligations. See footnote 3. |
(2) | Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A Common Stock. |
(3) | Represents shares of common stock withheld to satisfy tax withholding obligations relating to the vesting of restricted stock units. |
(4) | On January 3, 2019, the reporting person was granted 110,457 restricted stock units, vesting in four equal installments beginning on the first anniversary of the grant date. The restricted stock units do not expire. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BUCHEN DAVID A C/O AMNEAL PHARMACEUTICALS, INC. BRIDGEWATER, NJ 08807 |
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| SVP, Chief Legal Officer |
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Signatures
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/s/ Brian P. Spitser, as attorney-in-fact for David A. Buchen | | 1/6/2020 |
**Signature of Reporting Person | Date |