SEC Form 4 · accession 0001127602-15-021055
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
Jun 16, 2015
Accepted (ET)
Jun 18, 2015 · 5:31 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 | Jun 16, 2015 | M | 10,000 | $11.74 | A | 58,713 | D | |
| Ordinary SharesF3 | Jun 16, 2015 | S | 10,000 | $58.6349 | D | 48,713 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF4 | holding | — | — | — | 50,801 | I | By 2014 GRAT | |
| Ordinary SharesF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $11.74 | Jun 16, 2015 | M | 10,000 | D | — | May 17, 2020 | Ordinary Shares | 10,000 | 91,983 | 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 $58.375 to $58.97. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4Shares 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.
- F5Shares 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.
- F6These options are fully vested in accordance with their terms.