SEC Form 4 · accession 0001127602-16-044245
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Frates
Officer — SVP, Alks Inc; CFO ALKS
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 5:37 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 SharesF1 | Feb 26, 2016 | M | 2,625 | $0.00 | A | 26,659 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF2 | holding | — | — | — | 50,801 | I | By 2014 GRAT | |
| Ordinary SharesF3 | holding | — | — | — | 41,423 | I | By 2015 GRAT | |
| Ordinary SharesF4 | holding | — | — | — | 30,000 | I | By 2015 GRAT No. 2 |
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 | Feb 26, 2016 | M | 2,625 | D | Feb 26, 2016 | — | Ordinary Shares | 2,625 | 7,875 | D |
| Employee Stock Option (Right to Buy)F6 | $32.27 | Feb 29, 2016 | A | 76,000 | A | Mar 1, 2017 | Feb 28, 2026 | Ordinary Shares | 76,000 | 76,000 | D |
| Restricted Stock Unit AwardF7 | $0.00 | Feb 29, 2016 | A | 18,000 | A | Mar 1, 2017 | — | Ordinary Shares | 18,000 | 18,000 | D |
Explanation of responses
- F1Excludes 30,000 shares previously owned directly which were contributed to the James M. Frates Grantor Retained Annuity Trust No. 2 dated November 25, 2015 (the "2015 GRAT No. 2") on November 30, 2015, which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F2Shares 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.
- F3Shares held by the James M. Frates Grantor Retained Annuity Trust dated May 29, 2015 (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.
- F4Shares held by the 2015 GRAT No. 2. The Reporting Person is a trustee and beneficiary of the 2015 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2015 GRAT No. 2.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing 2/26/2016.
- F6Shares subject to the stock option award vest in four equal annual installments commencing on 3/1/2017.
- F7Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing 3/1/2017.