SEC Form 4 · accession 0001127602-17-027393
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
Sep 11, 2017
Accepted (ET)
Sep 13, 2017 · 5:36 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 | Sep 11, 2017 | M | 13,566 | $14.13 | A | 70,455 | D | |
| Ordinary SharesF3 | Sep 11, 2017 | S | 11,067 | $51.1826 | D | 59,388 | D | |
| Ordinary SharesF4 | Sep 11, 2017 | S | 2,499 | $51.7724 | D | 56,889 | D | |
| Ordinary SharesF5 | holding | — | — | — | 36,848 | I | By 2015 GRAT | |
| Ordinary SharesF6 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F7 | $14.13 | Sep 11, 2017 | M | 13,566 | D | — | Nov 5, 2017 | Ordinary Shares | 13,566 | 0 | D |
Explanation of responses
- F1This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/23/16.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/23/16.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.55 to $51.54. 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 $51.605 to $51.91. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. Cancel
- F5Shares held by the Kathryn L. Biberstein 2015 Annuity Trust dated December 11, 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.
- F6Shares held by the Kathryn L. Biberstein 2016 Annuity Trust dated December 9, 2016 (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.
- F7These options are fully vested in accordance with their terms.