SEC Form 4 · accession 0001127602-15-019188
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
May 28, 2015
Accepted (ET)
Jun 1, 2015 · 7:31 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 | May 28, 2015 | M | 2,500 | $0.00 | A | 85,115 | D | |
| Ordinary SharesF1,F2 | May 28, 2015 | F | 1,178 | $59.92 | D | 48,713 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF3 | holding | — | — | — | 50,801 | I | By 2014 GRAT | |
| Ordinary SharesF4 | holding | — | — | — | 41,423 | I | By 2015 GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit AwardF5 | $0.00 | May 28, 2015 | M | 2,500 | D | May 28, 2014 | — | Ordinary Shares | 2,500 | 5,000 | D |
Explanation of responses
- F1Includes 6,199 shares received on May 29, 2015 pursuant to an annuity payment from the James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "2014 GRAT"), which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F2Excludes 41,423 shares previously owned directly which were contributed to the James M. Frates Grantor Retained Annuity Trust dated May 29, 2015 (the "2015 GRAT") on June 1, 2015, which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F3Shares held by the 2014 GRAT. The Reporting Person is a trustee and beneficiary of the 2014 GRAT and may be deemed to share voting and dispositive power with regard to the reported shares held by the 2014 GRAT.
- F4Shares held by the 2015 GRAT. The Reporting Person is a trustee and beneficiary of the 2015 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2015 GRAT.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 5/28/14.