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Alkermes plc. — Director's Dealing 2014
Nov 7, 2014
31048_dirs_2014-11-07_00ed0870-d13b-4a14-aaa2-d2aba038c4bb.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: 2014-11-07
Reporting Person: FRATES JAMES M (SVP & CFO, Alkermes plc)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-11-07 | Ordinary Shares | M | 5303 | $8.55 | Acquired | 82465 | Direct |
| 2014-11-07 | Ordinary Shares | M | 8000 | $14.90 | Acquired | 90465 | Direct |
| 2014-11-07 | Ordinary Shares | S | 12540 | $49.9845 | Disposed | 77925 | Direct |
| 2014-11-07 | Ordinary Shares | S | 763 | $49.9845 | Disposed | 77162 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-11-07 | Employee Stock Option (Right to Buy) | $8.55 | M | 5303 | Disposed | 2019-05-26 | Ordinary Shares (5303) | Direct |
| 2014-11-07 | Non Qualified Stock Option (Right to Buy) | $14.90 | M | 8000 | Disposed | 2014-12-17 | Ordinary Shares (8000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Ordinary Shares | 4000 | Indirect |
| Ordinary Shares | 57000 | Indirect |
Footnotes
F1: This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F2: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.55 to $50.54. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.57 to $51.18. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F5: 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.
F6: These options are fully vested in accordance with their terms.