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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) | $ 8.55 | 09/16/2011 | A | 220,000 | (1) | 05/26/2019 | Common Stock | 220,000 | (2) | 220,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 9.21 | 09/16/2011 | A | 500,000 | (3) | 11/18/2019 | Common Stock | 500,000 | (2) | 500,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 12.29 | 09/16/2011 | A | 170,000 | (4) | 05/27/2018 | Common Stock | 170,000 | (2) | 170,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 14.13 | 09/16/2011 | A | 50,000 | (5) | 11/05/2017 | Common Stock | 50,000 | (2) | 50,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 11.74 | 09/16/2011 | A | 325,000 | (6) | 05/17/2020 | Common Stock | 325,000 | (2) | 325,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 18.105 | 09/16/2011 | A | 400,000 | (7) | 05/20/2021 | Common Stock | 400,000 | (2) | 400,000 | D | ||||
Incentive Stock Option (Right to Buy) | $ 4.77 | 09/16/2011 | A | 20,968 | (8) | 07/18/2012 | Common Stock | 20,968 | (2) | 20,968 | D | ||||
Incentive Stock Option (Right to Buy) | $ 9.97 | 09/16/2011 | A | 10,030 | (8) | 04/25/2013 | Common Stock | 10,030 | (2) | 10,030 | D | ||||
Incentive Stock Option (Right to Buy) | $ 12.3 | 09/16/2011 | A | 8,130 | (8) | 07/12/2014 | Common Stock | 8,130 | (2) | 8,130 | D | ||||
Incentive Stock Option (Right to Buy) | $ 15.95 | 09/16/2011 | A | 6,269 | (8) | 06/01/2017 | Common Stock | 6,269 | (2) | 6,269 | D | ||||
Incentive Stock Option (Right to Buy) | $ 18.6 | 09/16/2011 | A | 5,376 | (8) | 12/09/2015 | Common Stock | 5,376 | (2) | 5,376 | D | ||||
Incentive Stock Option (Right to Buy) | $ 19.4 | 09/16/2011 | A | 5,155 | (8) | 10/02/2011 | Common Stock | 5,155 | (2) | 5,155 | D | ||||
Incentive Stock Option (Right to Buy) | $ 20.79 | 09/16/2011 | A | 4,810 | (8) | 05/02/2016 | Common Stock | 4,810 | (2) | 4,810 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 4.77 | 09/16/2011 | A | 104,032 | (8) | 07/18/2012 | Common Stock | 104,032 | (2) | 104,032 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 7.36 | 09/16/2011 | A | 350,000 | (8) | 12/12/2012 | Common Stock | 350,000 | (2) | 350,000 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 9.97 | 09/16/2011 | A | 156,220 | (8) | 04/25/2013 | Common Stock | 156,220 | (2) | 156,220 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 12.16 | 09/16/2011 | A | 184,125 | (8) | 12/10/2013 | Common Stock | 184,125 | (2) | 184,125 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 12.3 | 09/16/2011 | A | 141,870 | (8) | 07/12/2014 | Common Stock | 141,870 | (2) | 141,870 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 14.38 | 09/16/2011 | A | 120,000 | (8) | 12/12/2016 | Common Stock | 120,000 | (2) | 120,000 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 14.57 | 09/16/2011 | A | 149,625 | (8) | 10/17/2013 | Common Stock | 149,625 | (2) | 149,625 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 14.9 | 09/16/2011 | A | 350,000 | (8) | 12/17/2014 | Common Stock | 350,000 | (2) | 350,000 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 15.95 | 09/16/2011 | A | 93,731 | (8) | 06/01/2017 | Common Stock | 93,731 | (2) | 93,731 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 18.6 | 09/16/2011 | A | 182,124 | (8) | 12/09/2015 | Common Stock | 182,124 | (2) | 182,124 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 19.4 | 09/16/2011 | A | 244,845 | (8) | 10/02/2011 | Common Stock | 244,845 | (2) | 244,845 | D | ||||
Non Qualified Stock Option (Right to Buy) | $ 20.79 | 09/16/2011 | A | 88,940 | (8) | 05/02/2016 | Common Stock | 88,940 | (2) | 88,940 | D | ||||
Restricted Stock Award | $ 0 | 09/16/2011 | A | 250,000 | (9) | (9) | Common Stock | 250,000 | (10) | 250,000 | D | ||||
Restricted Stock Award | $ 0 | 09/16/2011 | A | 25,000 | (11) | 05/26/2014(11) | Common Stock | 25,000 | (10) | 25,000 | D | ||||
Restricted Stock Unit Award | $ 0 | 09/16/2011 | A | 24,375 | (6) | (6) | Common Stock | 24,375 | (2) | 24,375 | D | ||||
Restricted Stock Unit Award | $ 0 | 09/16/2011 | A | 32,500 | (7) | (7) | Common Stock | 32,500 | (10) | 32,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POPS RICHARD F TREASURY BUILDING LOWER GRAND CANAL STREET DUBLIN 2 |
X | Director and CEO, Alkermes plc |
/s/ Jennifer Baptiste, attorney-in-fact for Richard F. Pops | 09/20/2011 | |
**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) | 50% vested as of 9/16/11, remainder vests in 2 equal annual installments beginning on 5/26/12. |
(2) | Received in exchange for, and having substantially the same terms as, stock options of Alkermes, Inc. common stock in connection with the Merger. |
(3) | 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 11/18/11. |
(4) | 75% vested as of 9/16/11, remainder vests on 5/27/12. |
(5) | 75% vested as of 9/16/11, remainder vests on 11/5/11. |
(6) | 25% vested as of 9/16/11, remainder vests in 3 equal annual installments beginning on 5/17/12. |
(7) | Vests in 4 equal annual installments beginning on 5/20/12. |
(8) | These options are fully vested in accordance with their terms. |
(9) | 50% vests on 11/18/12 and 50% vests on 11/18/13. |
(10) | Received in exchange for, and having substantially the same terms as, restricted stock unit awards of Alkermes, Inc. common stock in connection with the Merger. |
(11) | Performance-based restricted stock unit award. Commencing on 5/26/10, a determination will be made if the performance criteria have been met. Shares subject to the award vest in full upon the achievement of the performance criteria. If such performance criteria have not been met within a period of five years from the date of grant, all of the shares subject to the award are forfeited. |
(12) | Received in exchange for shares of Alkermes, Inc. common stock in connection with the merger of Alkermes, Inc. and the global drug delivery technologies business of Elan (the "Merger"). On 9/16/11, the effective date of the Merger, the closing price of ALKS was $16.57 per share. |