SEC Form 4 · accession 0001127602-19-006969
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, 2019
Accepted (ET)
Feb 19, 2019 · 6:53 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, 2019 | M | 3,375 | $0.00 | A | 43,664 | D | |
| Ordinary Shares | Feb 16, 2019 | F | 1,098 | $32.54 | D | 42,566 | D | |
| Ordinary Shares | Feb 17, 2019 | M | 3,000 | $0.00 | A | 45,566 | D | |
| Ordinary Shares | Feb 17, 2019 | F | 875 | $32.54 | D | 44,691 | D | |
| Ordinary Shares | holding | — | — | — | 4,000 | I | By Sons | |
| Ordinary SharesF1 | holding | — | — | — | 17,204 | I | By 2014 GRAT | |
| Ordinary SharesF2 | holding | — | — | — | 80,000 | I | By 2018 GRAT No. 1 | |
| Ordinary SharesF3 | holding | — | — | — | 45,000 | I | By 2018 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 AwardF4 | $0.00 | Feb 16, 2019 | M | 3,375 | D | Feb 16, 2019 | — | Ordinary Shares | 3,375 | 10,125 | D |
| Restricted Stock Unit AwardF5 | $0.00 | Feb 17, 2019 | M | 3,000 | D | Feb 17, 2018 | — | Ordinary Shares | 3,000 | 6,000 | 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 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.
- F3Shares held by James M. Frates 2018 Grantor Retained Annuity Trust No. 2 dated May 25, 2018 (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.
- F4Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/16/19.
- F5Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/17/18.