AI assistant
Alkermes plc. — Director's Dealing 2018
Jun 14, 2018
31048_dirs_2018-06-13_5250ae1c-268b-414d-a37f-9eebbb35b3d3.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: 2018-06-12
Reporting Person: FRATES JAMES M (SVP, Alks Inc; CFO ALKS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-06-12 | Ordinary Shares | S | 16842 | $50.0047 | Disposed | 37234 | 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: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 3/6/18.
F2: 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 $50.14. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
F3: Includes 14,736 shares received on May 1, 2018 pursuant to an annuity payment from the James M. Frates Grantor Retained Annuity Trust dated March 14, 2014 (the "2014 GRAT"), which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
F4: Excludes 45,000 shares previously owned directly which were contributed to the James M. Frates 2018 Grantor Retained Annuity Trust No. 2 dated May 25, 2018 (the "2018 GRAT No. 2") on May 29, 2018, which was exempt from reporting obligations by virtue of Rule 16a-13 promulgated under the Securities Exchange Act of 1934, as amended.
F5: Shares held by 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.
F6: 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.
F7: 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.