SEC Form 4 · accession 0001127602-18-009194
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 26, 2018
Accepted (ET)
Feb 28, 2018 · 6:18 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 SharesF1,F2 | Feb 26, 2018 | M | 2,625 | $0.00 | A | 80,156 | D | |
| Ordinary Shares | Feb 26, 2018 | F | 774 | $58.12 | D | 79,382 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF3 | holding | — | — | — | 31,940 | I | By 2014 GRAT | |
| Ordinary SharesF4 | holding | — | — | — | 80,000 | I | By 2018 GRAT No. 1 |
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 AwardF5 | $0.00 | Feb 26, 2018 | M | 2,625 | D | Feb 26, 2016 | — | Ordinary Shares | 2,625 | 2,625 | D |
Explanation of responses
- F1Includes 11,421 shares received on February 22, 2018 pursuant to an annuity payment from the James M. Frates Grantor Retained Annuity Trust No. 2 dated November 25, 2015 (the "2015 GRAT No. 2") which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F2Excludes 80,000 shares previously owned directly which were contributed to the James M. Frates 2018 Grantor Retained Annuity Trust No. 1 dated February 22, 2018 (the "2018 GRAT No. 1") on February 23, 2018, which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
- F3Shares 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.
- F4Shares held by the 2018 GRAT No. 1. The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 1 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 1.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/26/2016.