SEC Form 4 · accession 0001127602-16-045110
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn L Biberstein
Officer — EVP/CLO/CCO Alks Inc; Sec ALKS
Period of report
Mar 3, 2016
Accepted (ET)
Mar 4, 2016 · 5:14 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 | Mar 3, 2016 | M | 4,218 | $20.79 | A | 8,130 | D | |
| Ordinary Shares | Mar 3, 2016 | M | 855 | $14.38 | A | 8,985 | D | |
| Ordinary Shares | Mar 3, 2016 | M | 5,000 | $15.95 | A | 13,985 | D | |
| Ordinary Shares | Mar 3, 2016 | M | 1,434 | $14.13 | A | 15,419 | D | |
| Ordinary Shares | Mar 3, 2016 | M | 3,500 | $0.00 | A | 18,919 | D | |
| Ordinary SharesF1 | holding | — | — | — | 94,000 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (Right to Buy)F2 | $20.79 | Mar 3, 2016 | M | 4,218 | D | — | May 2, 2016 | Ordinary Shares | 4,218 | 0 | D |
| Incentive Stock Option (Right to Buy)F2 | $14.38 | Mar 3, 2016 | M | 855 | D | — | Dec 12, 2016 | Ordinary Shares | 855 | 0 | D |
| Incentive Stock Option (Right to Buy)F2 | $15.95 | Mar 3, 2016 | M | 5,000 | D | — | Jun 1, 2017 | Ordinary Shares | 5,000 | 0 | D |
| Employee Stock Option (Right to Buy)F2 | $14.13 | Mar 3, 2016 | M | 1,434 | D | — | Nov 5, 2017 | Ordinary Shares | 1,434 | 13,566 | D |
| Restricted Stock Unit AwardF3 | $0.00 | Mar 3, 2016 | M | 3,500 | D | Mar 3, 2015 | — | Ordinary Shares | 3,500 | 7,000 | D |
Explanation of responses
- F1Shares held by the Kathryn L. Biberstein 2015 Annuity Trust dated December 11, 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.
- F2These options are fully vested in accordance with their terms.
- F3Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing 3/3/2015.