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Alkermes plc. — Director's Dealing 2015
Sep 15, 2015
31048_dirs_2015-09-15_7d7d00f1-e972-41a4-8707-d1cc4ca21df6.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: 2015-09-15
Reporting Person: FRATES JAMES M (SVP & CFO, Alkermes plc)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-09-15 | Ordinary Shares | M | 10000 | $11.74 | Acquired | 58713 | Direct |
| 2015-09-15 | Ordinary Shares | M | 10000 | $14.38 | Acquired | 68713 | Direct |
| 2015-09-15 | Ordinary Shares | S | 10800 | $70.8469 | Disposed | 57913 | Direct |
| 2015-09-15 | Ordinary Shares | S | 9200 | $71.3941 | Disposed | 48713 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-09-15 | Employee Stock Option (Right to Buy) | $11.74 | M | 10000 | Disposed | 2020-05-17 | Ordinary Shares (10000) | Direct |
| 2015-09-15 | Non Qualified Stock Option (Right to Buy) | $14.38 | M | 10000 | Disposed | 2016-12-12 | Ordinary Shares (10000) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Ordinary Shares | 4000 | Indirect |
| Ordinary Shares | 50801 | Indirect |
| Ordinary Shares | 41423 | 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 $70.26 to $71.25. 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 $71.26 to $71.82. 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: Shares held by 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.
F7: These options are fully vested in accordance with their terms.