Statement of Changes in Beneficial Ownership (4)
05 Mars 2020 - 12:34AM
Edgar (US Regulatory)
FORM 4
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Parks Kenneth Scott |
2. Issuer Name and Ticker or Trading Symbol
Mylan N.V.
[
MYL
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
BUILDING 4, TRIDENT PLACE, MOSQUITO WAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/2/2020 |
(Street)
HATFIELD, HERTFORDSHIRE, X0 AL10 9UL
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares | 3/2/2020 | | M | | 6102 | A | $0.00 | 21210 | D | |
Ordinary Shares | 3/2/2020 | | F | | 2672 (1) | D | $17.48 | 18538 | D | |
Ordinary Shares | 3/2/2020 | | M | | 15544 | A | $0.00 | 34082 | D | |
Ordinary Shares | 3/2/2020 | | F | | 6806 (2) | D | $17.48 | 27276 | D | |
Ordinary Shares | 3/3/2020 | | M | | 3984 | A | $0.00 | 31260 | D | |
Ordinary Shares | 3/3/2020 | | F | | 1745 (3) | D | $16.29 | 29515 | D | |
Ordinary Shares | 3/3/2020 | | M | | 9961 | A | $0.00 | 39476 | D | |
Ordinary Shares | 3/3/2020 | | F | | 4361 (4) | D | $16.29 | 35115 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | $0.00 | 3/2/2020 | | M | | | 6102 | (5) | (5) | Ordinary Shares | 6102 | $0.00 | 6102 | D | |
Restricted Stock Units | $0.00 | 3/2/2020 | | M | | | 15544 | (6) | (6) | Ordinary Shares | 15544 | $0.00 | 31087 | D | |
Restricted Stock Units | $0.00 | 3/3/2020 | | M | | | 3984 | (7) | (7) | Ordinary Shares | 3984 | $0.00 | 0 | D | |
Performance Restricted Stock Units | $0.00 | 3/3/2020 | | A | | 9961 | | (8) | (8) | Ordinary Shares | 9961 | $0.00 | 9961 | D | |
Performance Restricted Stock Units | $0.00 | 3/3/2020 | | M | | | 9961 | (8) | (8) | Ordinary Shares | 9961 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Represents withholding of ordinary shares for the tax liability associated with the vesting and settlement of a portion of the restricted stock units (RSUs) granted on March 2, 2018. |
(2) | Represents withholding of ordinary shares for the tax liability associated with the vesting and settlement of a portion of the RSUs granted on March 1, 2019. |
(3) | Represents withholding of ordinary shares for the tax liability associated with the vesting and settlement of a portion of the RSUs granted on March 3, 2017. |
(4) | Represents withholding of ordinary shares for the tax liability associated with the vesting and settlement of a portion of the performance restricted stock units (PRSUs) granted on March 3, 2017. |
(5) | Each RSU represents the right to receive one ordinary share of Mylan N.V. 6,103 of the RSUs granted on March 2, 2018 vested on March 2, 2019, 6,102 vested on March 2, 2020, and 6,102 will vest on March 2, 2021. |
(6) | Each RSU represents the right to receive one ordinary share of Mylan N.V. 15,544 of the RSUs granted on March 1, 2019 vested on March 2, 2020, 15,543 will vest on March 2, 2021, and 15,544 will vest on March 2, 2022. |
(7) | Each RSU represents the right to receive one ordinary share of Mylan N.V. 3,985 of the RSUs granted on March 3, 2017 vested on March 3, 2018, and 3,984 vested on each of March 3, 2019 and March 3, 2020. |
(8) | Each PRSU represents the right to receive one ordinary share of Mylan N.V. The PRSUs were initially granted on March 3, 2017, subject to the attainment of previously established three-year performance goals and a vesting period. The PRSUs fully vested on March 3, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Parks Kenneth Scott BUILDING 4, TRIDENT PLACE, MOSQUITO WAY HATFIELD, HERTFORDSHIRE, X0 AL10 9UL |
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| Chief Financial Officer |
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Signatures
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/s/ Kevin Macikowski, by power of attorney | | 3/4/2020 |
**Signature of Reporting Person | Date |
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