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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Employee Stock Option (Right to Buy) | $ 32.57 | 02/21/2019 | A | 121,000 | 02/21/2020(1) | 02/21/2029 | Ordinary Shares | 121,000 | $ 0 | 121,000 | D | ||||
Restricted Stock Unit Award | $ 0 | 02/21/2019 | A | 129,600 | 02/21/2020(2) | (2) | Ordinary Shares | 129,600 | $ 0 | 129,600 | D | ||||
Employee Stock Option (Right to Buy) | $ 32.57 | 02/21/2019 | A | 382,200 | (3) | 02/21/2029 | Ordinary Shares | 382,200 | $ 0 | 382,200 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POPS RICHARD F CONNAUGHT HOUSE 1 BURLINGTON ROAD DUBLIN 4 IRELAND |
X | Director and CEO, Alkermes plc |
/s/ Jennifer Baptiste, attorney-in-fact for Richard F. Pops | 02/25/2019 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Shares subject to the stock option award vest in four equal annual installments commencing on 2/21/2020. |
(2) | Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/21/2020. |
(3) | Shares underlying the stock option award shall not vest and become exercisable unless and until the closing price of an ordinary share of Alkermes plc, as reported by the Nasdaq Global Select Market or another national securities exchange on which Alkermes plc's ordinary shares are listed, is fifty U.S. Dollars (US$50.00) or higher for thirty (30) consecutive trading days during the term of the award (the "performance criteria"). Subject to achievement of the performance criteria, the shares underlying the stock option award shall vest in four equal annual installments commencing on 2/21/2020. This award expires ten years from the date of grant. |