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) 08/09/2021 | 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 | 6,152 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(1) | 2,859 | D | |
2015 Stock Incentive Plan Restricted Stock Units (RSU)(2) | 3,505 | 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 Options (NQ)(3) | (3) | 02/21/2027 | 2015 Stock Incentive Plan Options (NQ) | 930 | 13.19 | D |
Explanation of Responses: |
1. On March 29, 2019, 8,577 RSUs were granted to Mr. Raciti with one-third vesting, and thus expiring, on each of the first three grant date anniversaries. As of August 9, 2021, 5,718 of these RSUs were vested and released. The amount reported in Table I represents the unvested portion as of that date. |
2. On March 5, 2021, 3,505 RSUs were granted to Mr. Raciti with one-third vesting, and thus expiring, on each of the first three grant date anniversaries. As of August 9, 2021, none of these RSUs have vested or been released. The amount reported in Table I represents the unvested portion as of that date. |
3. On February 21, 2017, 930 non-qualified stock options were granted to Mr. Raciti, with one-fourth vesting on each of the first four grant date anniversaries. As of August 9, 2021, 930 of these non-qualified stock options had vested and none had been exercised. The amount reported in Table II represents the unexercised portion as of that date. |
Remarks: |
These securities represent the amounts owned by Mr. Raciti as of August 9, 2021, the date of effectiveness of his appointment as Vice President, Controller and Chief Accounting Officer of Endo International plc. |
/s/ Matthew J. Maletta, by power of attorney | 08/09/2021 | |
** 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. |