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Alkermes plc. — Director's Dealing 2018
Dec 12, 2018
31048_dirs_2018-12-11_75499122-5e08-4f2e-bd96-e91517312d30.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: 2018-12-07
Reporting Person: FRATES JAMES M (SVP, Alks Inc; CFO ALKS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-12-07 | Ordinary Shares | A | 5500 | — | Acquired | 42734 | Direct |
| 2018-12-07 | Ordinary Shares | F | 2445 | $34.01 | Disposed | 40289 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Ordinary Shares | 4000 | Indirect |
| Ordinary Shares | 17204 | Indirect |
| Ordinary Shares | 80000 | Indirect |
| Ordinary Shares | 45000 | Indirect |
Footnotes
F1: These shares were acquired by the reporting person as a result of the partial vesting of performance-vesting restricted stock units granted to the reporting person on February 17, 2017. The vesting of this portion of the performance-vesting restricted stock units was triggered by ALKS 3831 achieving the pre-specified primary efficacy endpoints in each of two phase 3 studies.
F2: 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.
F3: Shares held by the James M. Frates 2018 Grantor Retained Annuity Trust No. 1 dated February 22, 2018 (the "2018 GRAT No. 1"). The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 1 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 1.
F4: Shares held by the 2018 GRAT No. 2. The Reporting Person is a trustee and beneficiary of the 2018 GRAT No. 2 and may be deemed to hold voting and dispositive power with regard to the reported shares held by the 2018 GRAT No. 2.