New User? Sign Up | Sign In

Sec Form 4 Filing - Stejbach Mark @ Alkermes plc. - 2018-02-16

  1. About Form 4 Filing: Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The Annual Statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.
  2. Form 4 is stored in SEC's EDGAR database. EDGAR is Electronic Data Gathering, Analysis and Retrieval System. It is a registered trademark of the SEC.

Enter Stock Symbol or Cik: Cik Lookup...

Search By Company or Insider Name:
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>

Email a friend >>...

SPAC List: List of Special Purpose Acquisition Companies


The following is an SEC EDGAR document rendered as filed.
Here is the list of insider trading transaction codes.

FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Expires: November 30, 2011
Estimated average burden hours per response... 0.5
1. Name and Address of Reporting Person *
Stejbach Mark
2. Issuer Name and Ticker or Trading Symbol
Alkermes plc. [ ALKS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
SVP/Chief Comm Off, Alks Inc
(Last)
(First)
(Middle)
852 WINTER ST.
3. Date of Earliest Transaction (MM/DD/YY)
02/16/2018
(Street)
WALTHAM, MA02451
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Ordinary Shares 02/16/2018 M( 1 ) 10,880 A $ 17.3 54,893 D
Ordinary Shares 02/16/2018 S( 2 ) 10,880 D $ 70.5048 ( 3 ) 44,013 D
Ordinary Shares 02/17/2018 M 3,000 A $ 0 47,013 D
Ordinary Shares 02/17/2018 F 884 D $ 67.26 46,129 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $ 17.3 02/16/2018 M( 1 ) 10,880 ( 4 ) 03/07/2022 Ordinary Shares 10,880 $ 0 5,780 D
Employee Stock Option (Right to Buy) $ 67.26 02/16/2018 A 54,500 02/16/2019( 5 ) 02/16/2028 Ordinary Shares 54,500 $ 0 54,500 D
Restricted Stock Unit Award $ 0 02/16/2018 A 13,500 02/16/2019( 6 ) ( 6 ) Ordinary Shares 13,500 $ 0 13,500 D
Restricted Stock Unit Award $ 0 02/17/2018 M 3,000 02/17/2018( 7 ) ( 7 ) Ordinary Shares 3,000 $ 0 9,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Stejbach Mark
852 WINTER ST.
WALTHAM, MA02451
SVP/Chief Comm Off, Alks Inc
Signatures
/s/ Jennifer Baptiste, attorney-in-fact for Mark Stejbach 02/21/2018
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )This option exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/5/17.
( 2 )This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 5/5/17.
( 3 )The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $70.14 to $70.97. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
( 4 )These options are fully vested in accordance with their terms.
( 5 )Shares subject to the stock option award vest in four equal annual installments commencing on 2/16/2019.
( 6 )Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/16/19.
( 7 )Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/17/18.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.