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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 | ||||||||
Performance Based Restricted Share Unit | (4) | 10/26/2017 | M | 7,988 | (4) | (4) | Ordinary Shares | 7,988 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bailey A Robert D CLONSHAUGH BUSINESS AND TECHNOLOGY PARK COOLOCK, CO. DUBLIN 2, L2 D17 E400 |
Chief Legal Officer & Corp Sec |
/s/ A. Robert D. Bailey | 10/30/2017 | |
**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) | Includes 2.1220 shares acquired on March 29, 2017 pursuant to a broker-assisted dividend reinvestment plan. |
(2) | Includes shares reported on previously-filed Form 4s on April 4, 2017 and May 16, 2017, and includes 2.1850 shares acquired on June 16, 2017 pursuant to a broker-assisted dividend reinvestment plan. |
(3) | The reported securities are restricted share units, each of which represents a right to receive one ordinary share of Allergan plc. The restricted share units will vest in equal installments on each of December 31, 2017, December 31, 2018 and December 31, 2019. |
(4) | Each Performance Based Restricted Share Unit or PSU represented a contingent right to receive a number of Ordinary Shares equal to the product of the applicable performance multiple and the target number of shares underlying the PSU, as set forth in the award agreement between the Issuer and the Reporting Person. |
(5) | Includes restricted shares issued pursuant to the 2013 Incentive Award Plan of Allergan plc. |