Amended Statement of Ownership (sc 13g/a)
15 2월 2018 - 4:50AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
Avadel
Pharmaceuticals plc
(Name of Issuer)
Ordinary shares, nominal value $0.01 per share
(Title of Class of Securities)
05337M 10 4
1
(CUSIP Number)
December
31, 2017
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒
Rule 13d-1(c)
☐ Rule 13d-1(d)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page.
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The information required in the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
1
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Represents the CUSIP number for the American Depositary Shares, each representing one ordinary share, nominal value $0.01 per share.
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SCHEDULE 13G
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(1)
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Names of
Reporting Persons
I.R.S. Identification Nos. of above persons (entities only)
Perceptive Advisors LLC
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Delaware
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Number of
shares
beneficially
owned by
each
reporting
person
with:
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(5)
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Sole voting power
0
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(6)
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Shared voting power
2,391,841
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
2,391,841
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(9)
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Aggregate amount beneficially owned by each reporting person
2,391,841
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
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(11)
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Percent of class represented by amount
in Row (9)
6.0%
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(12)
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Type of reporting person (see
instructions)
IA
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SCHEDULE 13G
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(1)
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Names of
Reporting Persons
I.R.S. Identification Nos. of above persons (entities only)
Joseph Edelman
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
United States of America
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Number of
shares
beneficially
owned by
each
reporting
person
with:
|
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(5)
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Sole voting power
0
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(6)
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Shared voting power
2,391,841
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
2,391,841
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(9)
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Aggregate amount beneficially owned by each reporting person
2,391,841
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
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(11)
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Percent of class represented by amount
in Row (9)
6.0%
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(12)
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Type of reporting person (see
instructions)
IN
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SCHEDULE 13G
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(1)
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Names of
Reporting Persons
I.R.S. Identification Nos. of above persons (entities only)
Perceptive Life Sciences Master Fund, Ltd.
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(2)
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Check the appropriate box if a member
of a group (see instructions)
(a) ☐ (b) ☐
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(3)
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SEC use only
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(4)
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Citizenship or place of
organization
Cayman Islands
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Number of
shares
beneficially
owned by
each
reporting
person
with:
|
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(5)
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Sole voting power
0
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(6)
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Shared voting power
2,391,841
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(7)
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Sole dispositive power
0
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(8)
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Shared dispositive power
2,391,841
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(9)
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Aggregate amount beneficially owned by each reporting person
2,391,841
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(10)
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Check if the aggregate amount in Row
(9) excludes certain shares (see instructions)
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(11)
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Percent of class represented by amount
in Row (9)
6.0%
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(12)
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Type of reporting person (see
instructions)
CO
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Item 1(a).
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Name of Issuer
:
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Avadel Pharmaceuticals plc (the Issuer)
Item 1(b).
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Address of Issuers Principal Executive Offices
:
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Block 10-1
Blanchardstown Corporate Park, Ballycoolin
Dublin 15, Ireland
Item 2(a).
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Names of Persons Filing
:
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The names of the persons filing this report
(collectively, the Reporting Persons) are:
Perceptive Advisors LLC (Perceptive Advisors)
Joseph Edelman (Mr. Edelman)
Perceptive Life Sciences Master Fund, Ltd. (the Master Fund)
Item 2(b).
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Address of Principal Business Office or, if None, Residence
:
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The address
of the principal business office of each of the Reporting Persons is:
51 Astor Place, 10th Floor
New York, NY 10003
Perceptive Advisors is a Delaware limited liability company
Mr. Edelman is a United States citizen
The Master Fund is a Cayman Islands corporation
Item 2(d).
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Title of Class of Securities
:
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Ordinary shares, nominal value $0.01 per
share. (Common Stock)
Item 2(e).
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CUSIP Number
:
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05337M 10 4, which represents the CUSIP number for the
American Depositary Shares, each representing one share of Common Stock (ADRs).
Item 3.
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a
:
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Not applicable.
The information required by this item with respect to each
Reporting Person is set forth in Rows 5 through 9 and 11 of the cover page to this Schedule 13G. The ownership percentages reported are based on 39,762,209 outstanding shares of Common Stock, as reported in the Issuers Form 10-Q amendment
filed on November 17, 2017.
The Master Fund directly holds 2,391,841 ADRs. Perceptive Advisors serves as the investment
manager to the Master Fund and may be deemed to beneficially own the securities directly held by the Master Fund. Mr. Edelman is the managing member of Perceptive Advisors and may be deemed to beneficially own the securities directly held by
the Master Fund.
Item 5.
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Ownership of Five Percent or Less of a Class
.
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If this statement is being filed
to report the fact that as of the date hereof the Reporting Persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following ☐.
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person
.
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Not
applicable.
Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
.
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Not applicable.
Item 8.
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Identification and Classification of Members of the Group
.
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Not applicable.
Item 9.
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Notice of Dissolution of Group
.
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Not applicable.
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or
as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
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Date: February 14, 2018
PERCEPTIVE ADVISORS LLC
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By:
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/s/ Joseph Edelman
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Name: Joseph Edelman
Title: Managing Member
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/s/ Joseph Edelman
JOSEPH EDELMAN
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PERCEPTIVE LIFE SCIENCES MASTER FUND, LTD.
By: Perceptive Advisors LLC
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By:
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/s/ Joseph Edelman
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Name: Joseph Edelman
Title: Managing Member
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Avadel Pharmaceuticals (NASDAQ:AVDL)
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