SEC Form 4 · accession 0001127602-17-019713
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
May 28, 2017
Accepted (ET)
May 30, 2017 · 5:39 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 SharesF1 | May 28, 2017 | M | 2,500 | $0.00 | A | 130,654 | D | |
| Ordinary Shares | May 28, 2017 | F | 1,177 | $57.70 | D | 129,477 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF2 | holding | — | — | — | 31,940 | I | By 2014 GRAT | |
| Ordinary SharesF3 | holding | — | — | — | 16,562 | I | By 2015 GRAT | |
| Ordinary SharesF4 | 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 AwardF5 | $0.00 | May 28, 2017 | M | 2,500 | D | — | — | Ordinary Shares | 2,500 | 0 | D |
Explanation of responses
- F1Includes 9,101 shares received on March 20, 2017 pursuant to an annuity payment from the James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "2014 GRAT"), which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F2Shares held by the 2014 GRAT. The Reporting Person is a trustee and beneficiary of the 2014 GRAT and may be deemed to share voting and dispositive power with regard to the reported shares held by the 2014 GRAT.
- F3Shares 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.
- F4Shares 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.
- F5This RSU award is fully vested in accordance with its terms.