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Alkermes plc. — Director's Dealing 2011
Sep 20, 2011
31048_dirs_2011-09-20_1b402491-7084-49b8-81dd-c310688d0d10.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: FRATES JAMES M (SVP & CFO, Alkermes plc)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-09-16 | Common Stock | A | 74606 | — | Acquired | 74606 | Direct |
| 2011-09-16 | Common Stock | A | 4000 | — | Acquired | 4000 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $19.40 | A | 54845 | Acquired | 2011-10-02 | Common Stock (54845) | 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 | Non Qualified Stock Option (Right to Buy) | $4.77 | A | 22296 | Acquired | 2012-07-18 | Common Stock (22296) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $4.77 | A | 7504 | Acquired | 2012-07-18 | Common Stock (7504) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $7.36 | A | 8726 | Acquired | 2012-12-12 | Common Stock (8726) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $7.36 | A | 61274 | Acquired | 2012-12-12 | Common Stock (61274) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $9.97 | A | 8750 | Acquired | 2013-04-25 | Common Stock (8750) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $9.97 | A | 26250 | Acquired | 2013-04-25 | Common Stock (26250) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $14.57 | A | 875 | Acquired | 2013-10-17 | Common Stock (875) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $14.57 | A | 30625 | Acquired | 2013-10-17 | Common Stock (30625) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $12.16 | A | 83499 | Acquired | 2013-12-10 | Common Stock (83499) | Direct |
| 2011-09-16 | Incentive Stock Option (Right to Buy) | $12.16 | A | 1 | Acquired | 2013-12-10 | Common Stock (1) | 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 | Non Qualified Stock Option (Right to Buy) | $12.30 | A | 36870 | Acquired | 2014-07-12 | Common Stock (36870) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $14.90 | A | 105000 | Acquired | 2014-12-17 | Common Stock (105000) | Direct |
| 2011-09-16 | Non Qualified Stock Option (Right to Buy) | $18.60 | A | 50874 | Acquired | 2015-12-09 | Common Stock (50874) | 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 | Non Qualified Stock Option (Right to Buy) | $20.79 | A | 23315 | Acquired | 2016-05-02 | Common Stock (23315) | 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) | $14.38 | A | 40000 | Acquired | 2016-12-12 | Common Stock (40000) | 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 | Non Qualified Stock Option (Right to Buy) | $15.95 | A | 23731 | Acquired | 2017-06-01 | Common Stock (23731) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $14.13 | A | 15000 | Acquired | 2017-11-05 | Common Stock (15000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $12.29 | A | 50000 | Acquired | 2018-05-27 | Common Stock (50000) | Direct |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $8.55 | A | 65000 | Acquired | 2019-05-26 | Common Stock (65000) | Direct |
| 2011-09-16 | Restricted Stock Award | $0 | A | 4250 | Acquired | Common Stock (4250) | Direct | |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $9.21 | A | 50000 | Acquired | 2019-11-18 | Common Stock (50000) | Direct |
| 2011-09-16 | Restricted Stock Award | $0 | A | 18750 | Acquired | Common Stock (18750) | Direct | |
| 2011-09-16 | Employee Stock Option (Right to Buy) | $11.74 | A | 120500 | Acquired | 2020-05-17 | Common Stock (120500) | Direct |
| 2011-09-16 | Restricted Stock Unit Award | $0 | A | 13050 | Acquired | Common Stock (13050) | Direct |
Footnotes
F1: 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.
F2: These options are fully vested in accordance with their terms.
F3: Received in exchange for, and having substantially the same terms as, stock options of Alkermes, Inc. common stock in connection with the Merger.
F4: 75% vested as of 9/16/11, remainder vests on 11/5/11.
F5: 75% vested as of 9/16/11, remainder vests on 5/27/12.
F6: 50% vested as of 9/16/11, remainder vests in 2 equal annual installments beginning on 5/26/12.
F7: 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.
F8: 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 11/18/11.
F9: 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 5/17/12.