SEC Form 4 · accession 0001127602-17-014039
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
Apr 3, 2017
Accepted (ET)
Apr 4, 2017 · 5:28 pm EDT
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 | Apr 3, 2017 | M | 15,000 | $15.95 | A | 69,904 | D | |
| Ordinary SharesF3 | Apr 3, 2017 | S | 10,937 | $57.4114 | D | 58,967 | D | |
| Ordinary SharesF4 | Apr 3, 2017 | S | 3,763 | $58.3544 | D | 55,204 | D | |
| Ordinary SharesF5 | Apr 3, 2017 | S | 300 | $59.125 | D | 54,904 | D | |
| Ordinary SharesF6 | holding | — | — | — | 36,848 | I | By 2015 GRAT | |
| Ordinary SharesF7 | holding | — | — | — | 57,152 | I | By 2016 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 | $15.95 | Apr 3, 2017 | M | 15,000 | D | — | Jun 1, 2017 | Ordinary Shares | 15,000 | 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 $57.04 to $58.03. 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 $58.05 to $59.01. 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 $59.05 to $59.18. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F6Shares held by 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.
- F7Shares held by the 2016 GRAT. The Reporting Person is a trustee and beneficiary of the 2016 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2016 GRAT.
- F8These options are fully vested in accordance with their terms.