SEC Form 4 · accession 0001127602-16-069031
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn L Biberstein
Officer — EVP/CAO/CCO Alks Inc; Sec ALKS
Period of report
Nov 22, 2016
Accepted (ET)
Dec 2, 2016 · 5:40 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 | Nov 22, 2016 | G | 500 | $0.00 | D | 38,687 | D | |
| Ordinary Shares | Dec 1, 2016 | M | 15,000 | $14.38 | A | 53,687 | D | |
| Ordinary SharesF3 | Dec 1, 2016 | S | 7,933 | $55.6902 | D | 45,754 | D | |
| Ordinary SharesF4 | Dec 1, 2016 | S | 7,067 | $56.6292 | D | 38,687 | D | |
| Ordinary SharesF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock Option (Right to Buy)F6 | $14.38 | Dec 1, 2016 | M | 15,000 | D | — | Dec 12, 2016 | Ordinary Shares | 15,000 | 14,145 | 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 $55.12 to $56.10. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $56.13 to $57.06. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F5Shares 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.
- F6These options are fully vested in accordance with their terms.