SEC Form 4 · accession 0001127602-17-027639
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 15, 2017
Accepted (ET)
Sep 18, 2017 · 6:08 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 15, 2017 | M | 1,935 | $11.74 | A | 58,824 | D | |
| Ordinary Shares | Sep 15, 2017 | F | 435 | $52.22 | D | 58,389 | D | |
| Ordinary Shares | Sep 15, 2017 | M | 1,935 | $18.105 | A | 60,324 | D | |
| Ordinary Shares | Sep 15, 2017 | F | 670 | $52.22 | D | 59,654 | D | |
| Ordinary Shares | Sep 15, 2017 | M | 1,935 | $16.55 | A | 61,589 | D | |
| Ordinary Shares | Sep 15, 2017 | F | 613 | $52.22 | D | 60,976 | D | |
| Ordinary SharesF1 | holding | — | — | — | 36,848 | I | By 2015 GRAT | |
| Ordinary SharesF2 | 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)F3 | $11.74 | Sep 15, 2017 | M | 1,935 | D | — | May 17, 2020 | Ordinary Shares | 1,935 | 84,565 | D |
| Employee Stock Option (Right to Buy)F3 | $18.105 | Sep 15, 2017 | M | 1,935 | D | — | May 20, 2021 | Ordinary Shares | 1,935 | 98,065 | D |
| Employee Stock Option (Right to Buy)F3 | $16.55 | Sep 15, 2017 | M | 1,935 | D | — | May 21, 2022 | Ordinary Shares | 1,935 | 118,065 | D |
Explanation of responses
- F1Shares 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.
- F2Shares 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.
- F3These options are fully vested in accordance with their terms.