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Alkermes plc. — Director's Dealing 2019
Feb 20, 2019
31048_dirs_2019-02-19_12880703-5a9e-4dd3-8f5e-6e80920667d0.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: 2019-02-16
Reporting Person: FRATES JAMES M (SVP, Alks Inc; CFO ALKS)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2019-02-16 | Ordinary Shares | M | 3375 | — | Acquired | 43664 | Direct |
| 2019-02-16 | Ordinary Shares | F | 1098 | $32.54 | Disposed | 42566 | Direct |
| 2019-02-17 | Ordinary Shares | M | 3000 | — | Acquired | 45566 | Direct |
| 2019-02-17 | Ordinary Shares | F | 875 | $32.54 | Disposed | 44691 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2019-02-16 | Restricted Stock Unit Award | $0 | M | 3375 | Disposed | Ordinary Shares (3375) | Direct | |
| 2019-02-17 | Restricted Stock Unit Award | $0 | M | 3000 | Disposed | Ordinary Shares (3000) | 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: 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.
F2: 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.
F3: Shares held by James M. Frates 2018 Grantor Retained Annuity Trust No. 2 dated May 25, 2018 (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.
F4: Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/16/19.
F5: Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/17/18.