Filing Details
- Accession Number:
- 0001127602-16-070166
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-15 18:54:26
- Reporting Period:
- 2016-12-14
- Filing Date:
- 2016-12-15
- Accepted Time:
- 2016-12-15 18:54:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1520262 | Alkermes Plc. | ALKS | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1235598 | M James Frates | Connaught House 1 Burlington Road Dublin 4 Ireland | Svp, Alks Inc; Cfo Alks | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Ordinary Shares | Acquisiton | 2016-12-14 | 15,000 | $14.13 | 127,342 | No | 4 | M | Direct | |
| Ordinary Shares | Acquisiton | 2016-12-14 | 10,000 | $11.74 | 137,342 | No | 4 | M | Direct | |
| Ordinary Shares | Disposition | 2016-12-14 | 24,900 | $54.72 | 112,442 | No | 4 | S | Direct | |
| Ordinary Shares | Disposition | 2016-12-14 | 100 | $55.20 | 112,342 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Ordinary Shares | Employee Stock Option (Right to Buy) | Disposition | 2016-12-14 | 15,000 | $0.00 | 15,000 | $14.13 |
| Ordinary Shares | Employee Stock Option (Right to Buy) | Disposition | 2016-12-14 | 10,000 | $0.00 | 10,000 | $11.74 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2017-11-05 | No | 4 | M | Direct | |
| 41,983 | 2020-05-17 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Ordinary Shares | 4,000 | Indirect | By Sons |
| Ordinary Shares | 41,041 | Indirect | By 2014 GRAT |
| Ordinary Shares | 16,562 | Indirect | By 2015 GRAT |
| Ordinary Shares | 11,421 | Indirect | By 2015 GRAT No. 2 |
Footnotes
- This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $54.20 to $55.19. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- Shares held by James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "GRAT"). The Reporting Person is a trustee and beneficiary of the GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the GRAT.
- Shares held by the James M. Frates Grantor Retained Annuity Trust dated May 29, 2015 (the "2015 GRAT"). The Reporting Person is a trustee and beneficiary of the 2015 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2015 GRAT.
- Shares held by the James M. Frates Grantor Retained Annuity Trust No. 2 dated November 25, 2015 (the "2015 GRAT No. 2"). The Reporting Person is a trustee and beneficiary of the 2015 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2015 GRAT No. 2.
- These options are fully vested in accordance with their terms.
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