SEC Form 4 · accession 0001127602-16-069523
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
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 5:58 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 | Dec 6, 2016 | M | 5,000 | $14.38 | A | 43,687 | D | |
| Ordinary SharesF3 | Dec 6, 2016 | S | 5,000 | $56.2422 | D | 38,687 | D | |
| Ordinary Shares | Dec 7, 2016 | M | 5,000 | $14.38 | A | 43,687 | D | |
| Ordinary SharesF4 | Dec 7, 2016 | S | 4,100 | $56.499 | D | 39,587 | D | |
| Ordinary SharesF5 | Dec 7, 2016 | S | 900 | $57.1139 | D | 38,687 | D | |
| Ordinary Shares | Dec 8, 2016 | M | 4,145 | $14.38 | A | 42,832 | D | |
| Ordinary SharesF6 | Dec 8, 2016 | S | 4,145 | $55.4179 | D | 38,687 | D | |
| Ordinary SharesF7 | 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)F8 | $14.38 | Dec 6, 2016 | M | 5,000 | D | — | Dec 12, 2016 | Ordinary Shares | 5,000 | 9,145 | D |
| Non Qualified Stock Option (Right to Buy)F8 | $14.38 | Dec 7, 2016 | M | 5,000 | D | — | Dec 12, 2016 | Ordinary Shares | 5,000 | 4,145 | D |
| Non Qualified Stock Option (Right to Buy)F8 | $14.38 | Dec 8, 2016 | M | 4,145 | D | — | Dec 12, 2016 | Ordinary Shares | 4,145 | 0 | 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 $55.92 to $56.56. 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 $55.99 to $56.97. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F5The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $57.00 to $57.29. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F6The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.01 to $55.64. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F7Shares 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.
- F8These options are fully vested in accordance with their terms.