SEC Form 4 · accession 0001127602-16-070469
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
Dec 12, 2016
Accepted (ET)
Dec 19, 2016 · 5:06 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 12, 2016 | G | 1,794 | $0.00 | D | 45,987 | I | Gordon G. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Dec 14, 2016 | G | 7,250 | $0.00 | D | 38,737 | I | Gordon G. Pugh Revocable Trust - 2012 |
| Ordinary Shares | Dec 15, 2016 | M | 16,690 | $16.55 | A | 37,277 | D | |
| Ordinary SharesF3 | Dec 15, 2016 | S | 16,690 | $57.6225 | D | 20,587 | D | |
| Ordinary Shares | Dec 16, 2016 | M | 4,768 | $16.55 | A | 25,355 | D | |
| Ordinary SharesF4 | Dec 16, 2016 | S | 4,768 | $57.7318 | D | 20,587 | D | |
| Ordinary Shares | holding | — | — | — | 13,101 | I | Nancy E. Pugh Revocable Trust - 2012 | |
| Ordinary SharesF5 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F6 | $16.55 | Dec 15, 2016 | M | 16,690 | D | — | May 21, 2022 | Ordinary Shares | 16,690 | 4,768 | D |
| Employee Stock Option (Right to Buy)F6 | $16.55 | Dec 16, 2016 | M | 4,768 | D | — | May 21, 2022 | Ordinary Shares | 4,768 | 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 $57.50 to $57.77. 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 $57.50 to $57.91. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F5Shares 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.
- F6These options are fully vested in accordance with their terms.