SEC Form 4 · accession 0001127602-16-064474
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
Oct 5, 2016
Accepted (ET)
Oct 6, 2016 · 9:14 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 | Oct 5, 2016 | M | 5,000 | $0.00 | A | 22,803 | D | |
| Ordinary Shares | Oct 5, 2016 | F | 2,216 | $46.43 | D | 20,587 | D | |
| Ordinary Shares | holding | — | — | — | 47,781 | I | Gordon G. Pugh Revocable Trust - 2012 | |
| Ordinary Shares | holding | — | — | — | 13,101 | I | Nancy E. Pugh Revocable Trust - 2012 | |
| Ordinary SharesF1 | holding | — | — | — | 6,989 | I | By GRAT |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance Restricted Stock UnitsF2,F3 | — | Oct 5, 2016 | M | 5,000 | D | — | — | Ordinary Shares | 5,000 | 0 | 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.
- F2Each performance restricted stock unit represented a contingent right to receive one ordinary share of Alkermes plc.
- F3This performance restricted stock unit, which was granted to the reporting person on March 3, 2014, is fully vested in accordance with its terms.