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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $ 1.87 | 03/11/2014 | A | 28,500 | (1) | 03/11/2024 | Ordinary Shares (2) | 28,500 | $ 0 | 28,500 | D | ||||
Stock Option (right to buy) | $ 1.87 | 03/11/2014 | A | 6,390 | (3) | 03/11/2024 | Ordinary Shares (2) | 6,390 | $ 0 | 6,390 | D | ||||
Restricted Stock Units | (4) | 03/11/2014 | A | 24,000 | (4) | (4) | Ordinary Shares (2) | 24,000 | $ 0 | 24,000 | D | ||||
Restricted Stock Units | (5) | 03/11/2014 | A | 5,348 | (5) | (5) | Ordinary Shares (2) | 5,348 | $ 0 | 5,348 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ekman Lars C/O AMARIN PHARMA, INC., 1430 ROUTE 206 BEDMINSTER, NJ 07921 |
X |
/s/ Michael Farrell, by power of attorney | 03/13/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | This option vests in full upon the earlier of (i) the one-year anniversary of the grant date of March 11, 2014 or (ii) the Issuer's annual meeting of stockholders to be held in 2015. |
(2) | The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share. |
(3) | This option vests in full on January 1, 2015. |
(4) | On March 11, 2014, the Reporting Person was granted 24,000 restricted stock units (the "RSUs") under the Amarin Corporation plc 2011 Stock Incentive Plan. Each RSU represents a contingent right to receive one Ordinary Share or cash in lieu thereof at the Issuer's discretion, with settlement to be made on a deferred basis, specifically upon the non-employee director's separation of service with the Company. The RSUs vest in equal annual installments over a three-year period, with each installment vesting each year upon the earlier of (i) the anniversary of the grant date of March 11, 2014 or (ii) the Issuer's annual meeting of stockholders in such year. |
(5) | On March 11, 2014, the Reporting Person was granted 5,348 restricted stock units (the "Additional RSUs") under the Amarin Corporation plc 2011 Stock Incentive Plan. Each Additional RSU represents a contingent right to receive one Ordinary Share or cash in lieu thereof at the Issuer's discretion, with settlement to be made on a deferred basis, specifically upon the non-employee director's separation of service with the Company. The Additional RSUs vest in equal annual installments on January 1, 2015, January 1, 2016 and January 1, 2017, such that the Additional RSUs are fully vested on January 1, 2017. |