SEC Form 4 · accession 0001127602-15-002023
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Frates
Officer — SVP & CFO, Alkermes plc
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 5:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001520262
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Jan 15, 2015 | M | 10,000 | $9.21 | A | 87,162 | D | |
| Ordinary SharesF3 | Jan 15, 2015 | S | 5,700 | $66.5488 | D | 81,462 | D | |
| Ordinary SharesF4 | Jan 15, 2015 | S | 3,800 | $67.1668 | D | 77,662 | D | |
| Ordinary SharesF5 | Jan 15, 2015 | S | 500 | $68.124 | D | 77,162 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF6 | holding | — | — | — | 57,000 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F7 | $9.21 | Jan 15, 2015 | M | 10,000 | D | — | Nov 18, 2019 | Ordinary Shares | 10,000 | 30,000 | D |
Explanation of responses
- F1This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.88 to $66.87. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $66.88 to $67.85. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $68.00 to $68.35. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F6Shares held by James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "GRAT"). The Reporting Person is a trustee and beneficiary of the GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the GRAT.
- F7These options are fully vested in accordance with their terms.