SEC Form 4 · accession 0001127602-18-007606
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Stejbach
Officer — SVP/Chief Comm Off, Alks Inc
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 6:10 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 16, 2018 | M | 10,880 | $17.30 | A | 54,893 | D | |
| Ordinary SharesF3 | Feb 16, 2018 | S | 10,880 | $70.5048 | D | 44,013 | D | |
| Ordinary Shares | Feb 17, 2018 | M | 3,000 | $0.00 | A | 47,013 | D | |
| Ordinary Shares | Feb 17, 2018 | F | 884 | $67.26 | D | 46,129 | D |
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)F4 | $17.30 | Feb 16, 2018 | M | 10,880 | D | — | Mar 7, 2022 | Ordinary Shares | 10,880 | 5,780 | D |
| Employee Stock Option (Right to Buy)F5 | $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 AwardF6 | $0.00 | Feb 16, 2018 | A | 13,500 | A | Feb 16, 2019 | — | Ordinary Shares | 13,500 | 13,500 | D |
| Restricted Stock Unit AwardF7 | $0.00 | Feb 17, 2018 | M | 3,000 | D | Feb 17, 2018 | — | Ordinary Shares | 3,000 | 9,000 | D |
Explanation of responses
- F1This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/5/17.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/5/17.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $70.14 to $70.97. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- F4These options are fully vested in accordance with their terms.
- F5Shares subject to the stock option award vest in four equal annual installments commencing on 2/16/2019.
- F6Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/16/19.
- F7Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/17/18.