SEC Form 4 · accession 0001127602-15-032501
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
Nov 24, 2015
Accepted (ET)
Nov 24, 2015 · 5:44 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 | Nov 24, 2015 | M | 5,523 | $18.105 | A | 55,380 | D | |
| Ordinary Shares | Nov 24, 2015 | F | 1,346 | $74.26 | D | 54,034 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF1 | holding | — | — | — | 50,801 | I | By 2014 GRAT | |
| Ordinary SharesF2 | 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)F3 | $18.105 | Nov 24, 2015 | M | 5,523 | D | — | May 20, 2021 | Ordinary Shares | 5,523 | 94,477 | D |
Explanation of responses
- F1Shares 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.
- F2Shares 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.
- F3This award is fully vested in accordance with its terms.