SEC Form 4 · accession 0001127602-18-009191
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 26, 2018
Accepted (ET)
Feb 28, 2018 · 5:40 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 26, 2018 | M | 3,750 | $0.00 | A | 35,818 | D | |
| Ordinary Shares | Feb 26, 2018 | F | 1,105 | $58.12 | D | 34,713 | 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 26, 2018 | M | 3,750 | D | Feb 26, 2016 | — | Ordinary Shares | 3,750 | 3,750 | 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 2/26/2016.