SEC Form 4 · accession 0001127602-18-007593
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Kathryn L Biberstein
Officer — EVP/CAO/CCO/CRO Alks Inc;
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 5:37 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 | Feb 17, 2018 | M | 3,750 | $0.00 | A | 15,974 | D | |
| Ordinary Shares | Feb 17, 2018 | F | 1,148 | $67.26 | D | 14,826 | D | |
| Ordinary Shares | Feb 20, 2018 | M | 6,582 | $11.74 | A | 21,408 | D | |
| Ordinary Shares | Feb 20, 2018 | M | 3,588 | $18.105 | A | 24,996 | D | |
| Ordinary Shares | Feb 20, 2018 | M | 4,107 | $16.55 | A | 29,103 | D | |
| Ordinary Shares | Feb 20, 2018 | M | 2,965 | $33.72 | A | 32,068 | D | |
| Ordinary SharesF1 | holding | — | — | — | 28,856 | I | By 2016 GRAT | |
| Ordinary SharesF2 | holding | — | — | — | 113,017 | I | By 2017 GRAT |
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 AwardF3 | $0.00 | Feb 16, 2018 | A | 17,500 | A | Feb 16, 2019 | — | Ordinary Shares | 17,500 | 17,500 | D |
| Employee Stock Option (Right to Buy)F4 | $67.26 | Feb 16, 2018 | A | 71,000 | A | Feb 16, 2019 | Feb 16, 2028 | Ordinary Shares | 71,000 | 71,000 | D |
| Restricted Stock Unit AwardF5 | $0.00 | Feb 17, 2018 | M | 3,750 | D | Feb 17, 2018 | — | Ordinary Shares | 3,750 | 11,250 | D |
| Employee Stock Option (Right to Buy)F6 | $11.74 | Feb 20, 2018 | M | 6,582 | D | — | May 17, 2020 | Ordinary Shares | 6,582 | 77,983 | D |
| Employee Stock Option (Right to Buy)F6 | $18.105 | Feb 20, 2018 | M | 3,588 | D | — | May 20, 2021 | Ordinary Shares | 3,588 | 94,477 | D |
| Employee Stock Option (Right to Buy)F6 | $16.55 | Feb 20, 2018 | M | 4,107 | D | — | May 21, 2022 | Ordinary Shares | 4,107 | 113,958 | D |
| Employee Stock Option (Right to Buy)F6 | $33.72 | Feb 20, 2018 | M | 2,965 | D | — | May 28, 2023 | Ordinary Shares | 2,965 | 77,035 | D |
Explanation of responses
- F1Shares 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.
- F2Shares held by the Kathryn L. Biberstein 2017 Annuity Trust dated December 11, 2017 (the "2017 GRAT"). The Reporting Person is a trustee and beneficiary of the 2017 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2017 GRAT.
- F3Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/16/19.
- F4Shares subject to the stock option award vest in four equal annual installments commencing on 2/16/2019.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/17/18.
- F6These options are fully vested in accordance with their terms.