SEC Form 4 · accession 0001127602-15-014762
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
Apr 15, 2015
Accepted (ET)
Apr 17, 2015 · 5:19 pm EDT
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 | Apr 15, 2015 | M | 13,750 | $16.55 | A | 22,108 | D | |
| Ordinary SharesF3 | Apr 15, 2015 | S | 13,750 | $63.2061 | D | 8,358 | D | |
| Ordinary Shares | holding | — | — | — | 30,637 | I | Gordon G. Pugh Revocable Trust - 2012 | |
| Ordinary SharesF4 | holding | — | — | — | 9,190 | I | By GRAT | |
| Ordinary Shares | holding | — | — | — | 10,900 | I | Nancy E. Pugh Revocable Trust - 2012 |
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)F5 | $16.55 | Apr 15, 2015 | M | 13,750 | D | May 21, 2013 | May 21, 2022 | Ordinary Shares | 13,750 | 68,750 | 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 $63.00 to $63.35. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4Shares 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.
- F5Shares subject to the stock option award vest in four equal annual installments commencing on 5/21/13.