Initial Statement of Beneficial Ownership (3)
15 December 2018 - 12:36AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
Kegler George A.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
12/6/2018
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3. Issuer Name
and
Ticker or Trading Symbol
Mallinckrodt plc [MNK]
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(Last)
(First)
(Middle)
675 MCDONNELL BLVD.
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP & CFO, Interim /
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(Street)
HAZELWOOD, MO 63042
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Ordinary Shares
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15315
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Share Options (Right to Buy)
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2/1/2014
(2)
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2/1/2023
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Ordinary Shares
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5933
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$45.41
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D
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Employee Share Options (Right to Buy)
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1/2/2015
(3)
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1/2/2024
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Ordinary Shares
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6037
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$51.35
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D
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Employee Share Options (Right to Buy)
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1/9/2016
(4)
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1/9/2025
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Ordinary Shares
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3968
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$103.57
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D
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Employee Share Options (Right to Buy)
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1/4/2017
(5)
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1/4/2026
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Ordinary Shares
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3601
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$72.61
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D
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Employee Share Options (Right to Buy)
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1/3/2018
(6)
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1/3/2027
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Ordinary Shares
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4752
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$51.73
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D
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Employee Share Options (Right to Buy)
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4/2/2019
(7)
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4/2/2028
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Ordinary Shares
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15174
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$13.80
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D
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Explanation of Responses:
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(1)
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Includes 7,922 restricted share units which vest in four equal annual installments beginning on the first anniversary of the date of grant.
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(2)
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Consists of previously granted employee stock options converted pursuant to the terms of the Employee Matters Agreement by and between Covidien plc ("Covidien") and Mallinckrodt plc, dated as of June 28, 2013 to reflect the separation of the pharmaceuticals business of Covidien from the rest of Covidien. The options vested in four equal annual installments beginning February 1, 2014.
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(3)
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The options vest in four equal annual installments beginning January 2, 2015.
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(4)
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The options vest in four equal annual installments beginning January 9, 2016.
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(5)
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The options vest in four equal annual installments beginning January 4, 2017.
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(6)
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The options vest in four equal annual installments beginning January 3, 2018.
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(7)
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The options vest in four equal annual installments beginning April 2, 2019.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kegler George A.
675 MCDONNELL BLVD.
HAZELWOOD, MO 63042
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EVP & CFO, Interim
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Signatures
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/s/ Stephanie D. Miller, Attorney-in-Fact
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12/14/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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