SEC Form 4 · accession 0001127602-15-002991
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon G Pugh
Officer — SVP, COO & CRO, Alkermes, Inc.
Period of report
Jan 26, 2015
Accepted (ET)
Jan 27, 2015 · 6:28 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 | Jul 1, 2014 | G | 13,794 | $0.00 | D | 37,527 | I | Gordon G. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Jul 1, 2014 | G | 13,794 | $0.00 | A | 23,250 | D | |
| Ordinary Shares | Dec 18, 2014 | G | 1,800 | $0.00 | D | 35,727 | I | Gordon G. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Dec 18, 2014 | G | 5,090 | $0.00 | D | 30,637 | I | Gordon G. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Dec 18, 2014 | G | 5,090 | $0.00 | A | 20,090 | I | Nancy E. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Dec 18, 2014 | G | 9,190 | $0.00 | D | 10,900 | I | Nancy E. Pugh Revocable Trust - 2012 |
| Ordinary SharesF1 | Dec 18, 2014 | G | 9,190 | $0.00 | A | 9,190 | I | By GRAT |
| Ordinary Shares | Jan 26, 2015 | M | 15,000 | $18.105 | A | 21,639 | D | |
| Ordinary SharesF4 | Jan 26, 2015 | S | 7,800 | $69.5956 | D | 13,839 | D | |
| Ordinary SharesF5 | Jan 26, 2015 | S | 7,200 | $70.4779 | D | 6,639 | D |
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)F6 | $18.105 | Jan 26, 2015 | M | 15,000 | D | — | May 20, 2021 | Ordinary Shares | 15,000 | 55,000 | D |
Explanation of responses
- F1Shares held by KAS Grantor Retained Annuity Trust dated December 16, 2014 (the "GRAT"). The Reporting Person's spouse is a trustee and beneficiary of the GRAT.
- F2This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $69.095 to $70.08. 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 $70.175 to $70.845. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F6Shares subject to the stock option award vest in four equal annual installments commencing on 5/20/12.