SEC Form 4 · accession 0001127602-16-044252
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gordon G Pugh
Officer — SVP, COO & CRO, Alkermes, Inc.
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 5:48 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 | Feb 26, 2016 | M | 3,125 | $0.00 | A | 5,769 | D | |
| Ordinary Shares | Feb 26, 2016 | F | 1,015 | $33.61 | D | 4,754 | D | |
| Ordinary Shares | holding | — | — | — | 47,781 | I | Gordon G. Pugh Revocable Trust - 2012 | |
| Ordinary SharesF1 | holding | — | — | — | 6,989 | I | By GRAT | |
| Ordinary SharesF2 | holding | — | — | — | 13,101 | I | Nancy E. Pugh Revocable Trust - 2012 |
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 AwardF3 | $0.00 | Feb 26, 2016 | M | 3,125 | D | Feb 26, 2016 | — | Ordinary Shares | 3,125 | 9,375 | D |
| Employee Stock Option (Right to Buy)F4 | $32.27 | Feb 29, 2016 | A | 85,000 | A | Mar 1, 2017 | Feb 28, 2026 | Ordinary Shares | 85,000 | 85,000 | D |
| Restricted Stock Unit AwardF5 | $0.00 | Feb 29, 2016 | A | 21,000 | A | Mar 1, 2017 | — | Ordinary Shares | 21,000 | 21,000 | D |
Explanation of responses
- F1Shares held by KAS Grantor Retained Annuity Trust dated December 16, 2014 (the "GRAT"). The Reporting Person's spouse is a trustee and beneficiary of the GRAT.
- F2Includes 2,201 shares received on December 29, 2015 pursuant to an annuity payment from the KAS Grantor Retained Annuity Trust dated December 16, 2014 (the "GRAT"), which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F3Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing 2/26/2016.
- F4Shares subject to the stock option award vest in four equal annual installments commencing on 3/1/2017.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing 3/1/2017.