AI assistant
Alkermes plc. — Director's Dealing 2017
Dec 1, 2017
31048_dirs_2017-11-30_6825dd51-5580-4ca3-8d70-5d97d05396ab.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Alkermes plc. (ALKS)
CIK: 0001520262
Period of Report: 2017-11-29
Reporting Person: FRATES JAMES M (SVP, Alks Inc; CFO ALKS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-29 | Ordinary Shares | M | 20932 | $12.29 | Acquired | 164971 | Direct |
| 2017-11-29 | Ordinary Shares | S | 20532 | $50.4943 | Disposed | 144439 | Direct |
| 2017-11-29 | Ordinary Shares | S | 400 | $51.25 | Disposed | 144039 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-11-29 | Employee Stock Option (Right to Buy) | $12.29 | M | 20932 | Disposed | 2018-05-27 | Ordinary Shares (20932) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Ordinary Shares | 4000 | Indirect |
| Ordinary Shares | 31940 | Indirect |
| Ordinary Shares | 11421 | Indirect |
Footnotes
F1: This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 6/9/17.
F2: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 6/9/17.
F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.00 to $50.96. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F4: Shares held by James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "2014 GRAT"). The Reporting Person is a trustee and beneficiary of the 2014 GRAT and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2014 GRAT.
F5: 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.
F6: These options are fully vested in accordance with their terms.