0001127602-16-070166.txt : 20161215 0001127602-16-070166.hdr.sgml : 20161215 20161215185426 ACCESSION NUMBER: 0001127602-16-070166 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161214 FILED AS OF DATE: 20161215 DATE AS OF CHANGE: 20161215 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alkermes plc. CENTRAL INDEX KEY: 0001520262 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 981007018 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: CONNAUGHT HOUSE STREET 2: 1 BURLINGTON ROAD CITY: DUBLIN 4 STATE: L2 ZIP: 00000 BUSINESS PHONE: 00-353-1-772-8000 MAIL ADDRESS: STREET 1: CONNAUGHT HOUSE STREET 2: 1 BURLINGTON ROAD CITY: DUBLIN 4 STATE: L2 ZIP: 00000 FORMER COMPANY: FORMER CONFORMED NAME: ANTLER SCIENCE TWO PLC DATE OF NAME CHANGE: 20110804 FORMER COMPANY: FORMER CONFORMED NAME: Antler Science Two Ltd DATE OF NAME CHANGE: 20110509 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FRATES JAMES M CENTRAL INDEX KEY: 0001235598 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35299 FILM NUMBER: 162054758 MAIL ADDRESS: STREET 1: 88 SIDNEY ST CITY: CAMBRIDGE STATE: MA ZIP: 021394136 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2016-12-14 0001520262 Alkermes plc. ALKS 0001235598 FRATES JAMES M CONNAUGHT HOUSE 1 BURLINGTON ROAD DUBLIN 4 Ireland 1 SVP, Alks Inc; CFO ALKS Ordinary Shares 2016-12-14 4 M 0 15000 14.13 A 127342 D Ordinary Shares 2016-12-14 4 M 0 10000 11.74 A 137342 D Ordinary Shares 2016-12-14 4 S 0 24900 54.7234 D 112442 D Ordinary Shares 2016-12-14 4 S 0 100 55.20 D 112342 D Ordinary Shares 4000 I By Sons Ordinary Shares 41041 I By 2014 GRAT Ordinary Shares 16562 I By 2015 GRAT Ordinary Shares 11421 I By 2015 GRAT No. 2 Employee Stock Option (Right to Buy) 14.13 2016-12-14 4 M 0 15000 0 D 2017-11-05 Ordinary Shares 15000 0 D Employee Stock Option (Right to Buy) 11.74 2016-12-14 4 M 0 10000 0 D 2020-05-17 Ordinary Shares 10000 41983 D This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $54.20 to $55.19. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. 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. Shares held by the James M. Frates Grantor Retained Annuity Trust dated May 29, 2015 (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. 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. These options are fully vested in accordance with their terms. /s/ Jennifer Baptiste, attorney-in-fact for James M. Frates 2016-12-15