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Alkermes plc. — Director's Dealing 2011
Sep 20, 2011
31048_dirs_2011-09-20_04e4fa67-e7f1-4770-9b96-3442d571bb7c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alkermes plc. (ALKS)
CIK: 0001520262
Period of Report: 2011-09-16
Reporting Person: POPS RICHARD F (Director, Director and CEO, Alkermes plc)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-09-16 | Common Stock | A | 424354 | — | Acquired | 424354 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-09-16 | Employee Stock Option (Right to Buy) | $8.55 | A | 220000 | Acquired | 2019-05-26 | Common Stock (220000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $9.21 | A | 500000 | Acquired | 2019-11-18 | Common Stock (500000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $12.29 | A | 170000 | Acquired | 2018-05-27 | Common Stock (170000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $14.13 | A | 50000 | Acquired | 2017-11-05 | Common Stock (50000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $11.74 | A | 325000 | Acquired | 2020-05-17 | Common Stock (325000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $18.105 | A | 400000 | Acquired | 2021-05-20 | Common Stock (400000) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $4.77 | A | 20968 | Acquired | 2012-07-18 | Common Stock (20968) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $9.97 | A | 10030 | Acquired | 2013-04-25 | Common Stock (10030) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $12.30 | A | 8130 | Acquired | 2014-07-12 | Common Stock (8130) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $15.95 | A | 6269 | Acquired | 2017-06-01 | Common Stock (6269) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $18.60 | A | 5376 | Acquired | 2015-12-09 | Common Stock (5376) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $19.40 | A | 5155 | Acquired | 2011-10-02 | Common Stock (5155) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $20.79 | A | 4810 | Acquired | 2016-05-02 | Common Stock (4810) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $4.77 | A | 104032 | Acquired | 2012-07-18 | Common Stock (104032) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $7.36 | A | 350000 | Acquired | 2012-12-12 | Common Stock (350000) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $9.97 | A | 156220 | Acquired | 2013-04-25 | Common Stock (156220) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $12.16 | A | 184125 | Acquired | 2013-12-10 | Common Stock (184125) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $12.30 | A | 141870 | Acquired | 2014-07-12 | Common Stock (141870) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $14.38 | A | 120000 | Acquired | 2016-12-12 | Common Stock (120000) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $14.57 | A | 149625 | Acquired | 2013-10-17 | Common Stock (149625) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $14.90 | A | 350000 | Acquired | 2014-12-17 | Common Stock (350000) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $15.95 | A | 93731 | Acquired | 2017-06-01 | Common Stock (93731) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $18.60 | A | 182124 | Acquired | 2015-12-09 | Common Stock (182124) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $19.40 | A | 244845 | Acquired | 2011-10-02 | Common Stock (244845) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $20.79 | A | 88940 | Acquired | 2016-05-02 | Common Stock (88940) | Direct |
| 2011-09-16 | Restricted Stock Award | $0 | A | 250000 | Acquired | Common Stock (250000) | Direct | |
| 2011-09-16 | Restricted Stock Award | $0 | A | 25000 | Acquired | 2014-05-26 | Common Stock (25000) | Direct |
| 2011-09-16 | Restricted Stock Unit Award | $0 | A | 24375 | Acquired | Common Stock (24375) | Direct | |
| 2011-09-16 | Restricted Stock Unit Award | $0 | A | 32500 | Acquired | Common Stock (32500) | Direct |
Footnotes
F1: 50% vested as of 9/16/11, remainder vests in 2 equal annual installments beginning on 5/26/12.
F2: Received in exchange for, and having substantially the same terms as, stock options of Alkermes, Inc. common stock in connection with the Merger.
F3: 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 11/18/11.
F4: 75% vested as of 9/16/11, remainder vests on 5/27/12.
F5: 75% vested as of 9/16/11, remainder vests on 11/5/11.
F6: 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 5/17/12.
F7: Vests in 4 equal annual installments beginning on 5/20/12.
F8: These options are fully vested in accordance with their terms.
F9: 50% vests on 11/18/12 and 50% vests on 11/18/13.
F10: Received in exchange for, and having substantially the same terms as, restricted stock unit awards of Alkermes, Inc. common stock in connection with the Merger.
F11: Performance-based restricted stock unit award. Commencing on 5/26/10, a determination will be made if the performance criteria have been met. Shares subject to the award vest in full upon the achievement of the performance criteria. If such performance criteria have not been met within a period of five years from the date of grant, all of the shares subject to the award are forfeited.
F12: Received in exchange for shares of Alkermes, Inc. common stock in connection with the merger of Alkermes, Inc. and the global drug delivery technologies business of Elan (the "Merger"). On 9/16/11, the effective date of the Merger, the closing price of ALKS was $16.57 per share.