SEC Form 4 · accession 0001127602-18-035951
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
Dec 7, 2018
Accepted (ET)
Dec 11, 2018 · 7:36 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 | Dec 7, 2018 | A | 5,500 | $0.00 | A | 42,734 | D | |
| Ordinary Shares | Dec 7, 2018 | F | 2,445 | $34.01 | D | 40,289 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF2 | holding | — | — | — | 17,204 | I | By 2014 GRAT | |
| Ordinary SharesF3 | holding | — | — | — | 80,000 | I | By 2018 GRAT No. 1 | |
| Ordinary SharesF4 | holding | — | — | — | 45,000 | I | By 2018 GRAT No. 2 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were acquired by the reporting person as a result of the partial vesting of performance-vesting restricted stock units granted to the reporting person on February 17, 2017. The vesting of this portion of the performance-vesting restricted stock units was triggered by ALKS 3831 achieving the pre-specified primary efficacy endpoints in each of two phase 3 studies.
- F2Shares 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.
- F3Shares held by the James M. Frates 2018 Grantor Retained Annuity Trust No. 1 dated February 22, 2018 (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.
- F4Shares held by the 2018 GRAT No. 2. The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 2.