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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 | ||||||||
Share Options (Right to Buy) | $ 37.85 | 02/03/2014 | M | 17,904 | 02/01/2013(7) | 01/31/2022 | Ordinary Shares | 17,904 | $ 0 | 35,808 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trudeau Mark 675 MCDONNELL BLVD. HAZELWOOD, MO 63042 |
X | President & CEO |
/s/ Miriam Rogers Singer, Attorney-in-Fact | 02/04/2014 | |
**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) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b-5-1 Plan adopted by the reporting person on December 11, 2013. |
(2) | This represents the weighted average price paid for the shares. The shares were sold at prices ranging from $54.58 to $55.57, inclusive. Mr. Trudeau will provide, upon request of the SEC staff, Mallinckrodt plc, or a shareholder of Mallinckrodt plc complete information regarding the number of shares sold at each price within the ranges set forth in footnotes (2) - (5) to this Form 4. |
(3) | This represents the weighted average price paid for the shares. The shares were sold at prices ranging from $55.58 to $56.57, inclusive. |
(4) | This represents the weighted average price paid for the shares. The shares were sold at prices ranging from $56.58 to $57.57, inclusive. |
(5) | This represents the weighted average price paid for the shares. The shares were sold at prices ranging from $57.58 to $57.99, inclusive. |
(6) | Includes 154 shares acquired under the Mallinckrodt employee stock purchase plan on January 6, 2014. |
(7) | The options representing rights to purchase 71,616 ordinary shares became exercisable in four equal installments beginning on February 1, 2013, which is the first anniversary from the date of the grant. |