SEC FORM 4 SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
POPS RICHARD F

(Last) (First) (Middle)
CONNAUGHT HOUSE
1 BURLINGTON ROAD

(Street)
DUBLIN 4 IRELAND

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Alkermes plc. [ ALKS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Director and CEO, Alkermes plc
3. Date of Earliest Transaction (Month/Day/Year)
02/21/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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
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 (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 Securities Underlying Derivative Security (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: 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) $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
Explanation of Responses:
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.
/s/ Jennifer Baptiste, attorney-in-fact for Richard F. Pops 02/25/2019
** Signature of Reporting Person Date
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.