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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 | ||||||||
2007 Stock Incentive Plan Stock Options | $ 19.93 | 12/15/2011 | G | 191,406 (3) | (3) | 02/26/2019 | Common Stock | 191,406 (2) | $ 0 | 0 | D | ||||
2007 Stock Incentive Plan Stock Options | $ 19.93 | 12/15/2011 | G | 191,406 | (3) | 02/26/2019 | Common Stock | 191,406 (2) | $ 0 | 191,406 | I | 2011 Grantor Retained Annuity Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Holveck David C/O ENDO PHARMACEUTICALS 100 ENDO BOULEVARD CHADDS FORD, PA 19317 |
X | President & CEO |
/s/ Caroline B. Manogue, by power of attorney | 12/19/2011 | |
**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 number represents vested options of Mr. Holveck's 2007 Stock Incentive Plan Options granted on February 26, 2009 in connection with Mr. Holveck's service as the Registrant's President & Chief Executive Officer. The respective options vested on February 26, 2010 and February 26, 2011. |
(2) | This reported transaction occurred in connection with Mr. Holveck's personal financial planning and was a transfer by Mr. Holveck to a 2011 Grantor Retained Annuity Trust, of which Mr. Holveck serves as a trustee. |
(3) | This number represents the unvested options of Mr. Holveck's 2007 Stock Incentive Plan Options granted on February 26, 2009. The respective options will vest on February 26, 2012 and February 26, 2013. |