SEC Form 4 · accession 0001127602-19-009587
Alkermes plc. · ALKS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul J Mitchell
Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 4, 2019 · 5:13 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 SharesF2 | Mar 1, 2019 | M | 1,000 | $8.98 | A | 1,000 | I | The Paul J. Mitchell Trust |
| Ordinary SharesF2 | Mar 1, 2019 | S | 1,000 | $33.48 | D | 0 | I | The Paul J. Mitchell Trust |
| Ordinary Shares | holding | — | — | — | 8,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock Option (Right to Buy)F2,F5,F4 | $8.98 | Mar 1, 2019 | M | 1,000 | D | — | Oct 6, 2019 | Ordinary Shares | 1,000 | 8,000 | I |
Explanation of responses
- F1This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/12/17.
- F2The reporting person and his wife are co-trustees of The Paul J. Mitchell Trust and the reporting person is also a beneficiary of The Paul J. Mitchell Trust originally established on November 19, 2014 and amended and restated on September 8, 2017 ("The Paul J. Mitchell Trust").
- F3This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 12/12/17.
- F4These options are fully vested in accordance with their terms.
- F5These options were transferred from the reporting person to The Paul J. Mitchell Trust on December 11, 2017.