Initial Statement of Beneficial Ownership (3)
June 01 2016 - 5:42PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Gaffin David Joseph
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2. Date of Event Requiring Statement (MM/DD/YYYY)
5/26/2016
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3. Issuer Name
and
Ticker or Trading Symbol
Alkermes plc. [ALKS]
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(Last)
(First)
(Middle)
852 WINTER STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
SVP, CLO, Alkermes, Inc. /
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(Street)
WALTHAM, MA 02451
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Ordinary Shares
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19590
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(1)
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12/12/2016
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Ordinary Shares
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5000
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$14.38
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D
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Employee Stock Option (Right to Buy)
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(1)
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6/1/2017
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Ordinary Shares
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4500
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$15.95
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D
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Employee Stock Option (Right to Buy)
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(1)
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11/5/2017
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Ordinary Shares
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500
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$14.13
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D
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Employee Stock Option (Right to Buy)
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(1)
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5/27/2018
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Ordinary Shares
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1100
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$12.29
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D
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Employee Stock Option (Right to Buy)
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(1)
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5/26/2019
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Ordinary Shares
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7000
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$8.55
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D
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Employee Stock Option (Right to Buy)
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(1)
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5/17/2020
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Ordinary Shares
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3000
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$11.74
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D
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Employee Stock Option (Right to Buy)
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(1)
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5/20/2021
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Ordinary Shares
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2250
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$18.105
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D
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Employee Stock Option (Right to Buy)
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(1)
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5/21/2022
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Ordinary Shares
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41000
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$16.55
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D
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Employee Stock Option (Right to Buy)
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5/28/2014
(2)
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5/28/2023
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Ordinary Shares
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30000
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$33.72
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D
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Restricted Stock Unit Award
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5/28/2014
(3)
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(3)
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Ordinary Shares
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2500
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$0
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D
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Employee Stock Option (Right to Buy)
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3/3/2015
(4)
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3/3/2024
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Ordinary Shares
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25000
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$47.16
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D
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Restricted Stock Unit Award
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3/3/2015
(5)
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(5)
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Ordinary Shares
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2500
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$0
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D
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Employee Stock Option (Right to Buy)
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2/26/2016
(6)
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2/26/2025
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Ordinary Shares
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17750
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$71.23
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D
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Restricted Stock Unit Award
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2/26/2016
(7)
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(7)
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Ordinary Shares
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3300
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$0
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D
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Performance Restricted Stock Units
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(8)
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(8)
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Ordinary Shares
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1600
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(9)
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D
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Employee Stock Option (Right to Buy)
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3/1/2017
(10)
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2/28/2026
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Ordinary Shares
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36000
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$32.27
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D
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Restricted Stock Unit Award
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3/1/2017
(11)
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(11)
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Ordinary Shares
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9000
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$0
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D
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Explanation of Responses:
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(
1)
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These options are fully vested in accordance with their terms.
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(
2)
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Shares subject to the stock option award vest in four equal annual installments commencing on 5/28/14.
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(
3)
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Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 5/28/14.
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(
4)
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Shares subject to the stock option award vest in four equal annual installments commencing on 3/3/15.
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(
5)
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Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 3/3/2015.
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(
6)
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Shares subject to the stock option award vest in four equal annual installments commencing on 2/26/2016.
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(
7)
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Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 2/26/2016.
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(
8)
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Represents the earned but unvested portion of the performance restricted stock units granted to the reporting person on March 3, 2014. The remaining fifty percent of the earned performance restricted stock units will vest on October 5, 2016.
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(
9)
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Each performance restricted stock unit represents a contingent right to receive one ordinary share of Alkermes plc.
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(
10)
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Shares subject to the stock option award vest in four equal annual installments commencing on 3/1/2017.
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(
11)
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Shares subject to the restricted stock unit award vest in equal annual installments over a four year period, commencing on 3/1/2017.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Gaffin David Joseph
852 WINTER STREET
WALTHAM, MA 02451
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SVP, CLO, Alkermes, Inc.
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Signatures
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/s/ Jennifer Baptiste, attorney-in-fact for David J Gaffin
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6/1/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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