SEC Form 4 · accession 0001127602-15-027033
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
Sep 15, 2015
Accepted (ET)
Sep 15, 2015 · 5:09 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 | Sep 15, 2015 | M | 10,000 | $11.74 | A | 58,713 | D | |
| Ordinary Shares | Sep 15, 2015 | M | 10,000 | $14.38 | A | 68,713 | D | |
| Ordinary SharesF3 | Sep 15, 2015 | S | 10,800 | $70.8469 | D | 57,913 | D | |
| Ordinary SharesF4 | Sep 15, 2015 | S | 9,200 | $71.3941 | D | 48,713 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF5 | holding | — | — | — | 50,801 | I | By 2014 GRAT | |
| Ordinary SharesF6 | 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)F7 | $11.74 | Sep 15, 2015 | M | 10,000 | D | — | May 17, 2020 | Ordinary Shares | 10,000 | 71,983 | D |
| Non Qualified Stock Option (Right to Buy)F7 | $14.38 | Sep 15, 2015 | M | 10,000 | D | — | Dec 12, 2016 | Ordinary Shares | 10,000 | 10,000 | 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 $70.26 to $71.25. 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 $71.26 to $71.82. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F5Shares 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.
- F6Shares 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.
- F7These options are fully vested in accordance with their terms.