SEC Form 4 · accession 0001127602-16-062123
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Joseph Gaffin
Officer — SVP, CLO, Alkermes, Inc.
Period of report
Sep 6, 2016
Accepted (ET)
Sep 7, 2016 · 5:16 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 6, 2016 | M | 2,382 | $14.38 | A | 22,816 | D | |
| Ordinary SharesF3 | Sep 6, 2016 | S | 2,382 | $45.9186 | D | 20,434 | D |
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)F4 | $14.38 | Sep 6, 2016 | M | 2,382 | D | — | Dec 12, 2016 | Ordinary Shares | 2,382 | 2,618 | 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 $45.37 to $46.32. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4These options are fully vested in accordance with their terms.