SEC Form 4 · accession 0001127602-17-009854
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James M Frates
Officer — SVP, Alks Inc; CFO ALKS
Period of report
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 6:04 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 | Mar 1, 2017 | M | 4,500 | $0.00 | A | 118,615 | D | |
| Ordinary Shares | Mar 1, 2017 | F | 1,461 | $59.71 | D | 117,154 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF1 | holding | — | — | — | 41,041 | I | By 2014 GRAT | |
| Ordinary SharesF2 | holding | — | — | — | 16,562 | I | By 2015 GRAT | |
| Ordinary SharesF3 | holding | — | — | — | 11,421 | I | By 2015 GRAT No. 2 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock Unit AwardF4 | $0.00 | Mar 1, 2017 | M | 4,500 | D | Mar 1, 2017 | — | Ordinary Shares | 4,500 | 13,500 | D |
Explanation of responses
- F1Shares held by James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "GRAT"). The Reporting Person is a trustee and beneficiary of the GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the GRAT.
- F2Shares held by the James M. Frates Grantor Retained Annuity Trust dated May 29, 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.
- F3Shares held by the James M. Frates Grantor Retained Annuity Trust No. 2 dated November 25, 2015 (the "2015 GRAT No. 2"). The Reporting Person is a trustee and beneficiary of the 2015 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2015 GRAT No. 2.
- F4Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 3/1/2017.