SEC Form 4 · accession 0001127602-18-007600
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
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 5:55 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 | 3,000 | $0.00 | A | 147,039 | D | |
| Ordinary Shares | Feb 17, 2018 | F | 929 | $67.26 | D | 146,110 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF1 | holding | — | — | — | 31,940 | I | By 2014 GRAT | |
| Ordinary SharesF2 | 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 AwardF3 | $0.00 | Feb 16, 2018 | A | 13,500 | A | Feb 16, 2019 | — | Ordinary Shares | 13,500 | 13,500 | D |
| Employee Stock Option (Right to Buy)F4 | $67.26 | Feb 16, 2018 | A | 54,500 | A | Feb 16, 2019 | Feb 16, 2028 | Ordinary Shares | 54,500 | 54,500 | D |
| Restricted Stock Unit AwardF5 | $0.00 | Feb 17, 2018 | M | 3,000 | D | Feb 17, 2018 | — | Ordinary Shares | 3,000 | 9,000 | D |
Explanation of responses
- F1Shares held by James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "2014 GRAT"). The Reporting Person is a trustee and beneficiary of the 2014 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2014 GRAT.
- F2Shares 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.
- 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.