SEC Form 4 · accession 0001127602-17-000737
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
Jan 3, 2017
Accepted (ET)
Jan 4, 2017 · 5:26 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 | Jan 3, 2017 | M | 2,250 | $15.95 | A | 27,207 | D | |
| Ordinary Shares | Jan 3, 2017 | M | 250 | $14.13 | A | 27,457 | D | |
| Ordinary Shares | Jan 3, 2017 | S | 2,500 | $55.40 | D | 24,957 | 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)F3 | $15.95 | Jan 3, 2017 | M | 2,250 | D | — | Jun 1, 2017 | Ordinary Shares | 2,250 | 2,250 | D |
| Employee Stock Option (Right to Buy)F3 | $14.13 | Jan 3, 2017 | M | 250 | D | — | Nov 5, 2017 | Ordinary Shares | 250 | 250 | 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.
- F3These options are fully vested in accordance with their terms.