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Alkermes (ALKS) EVP Gaffin sells 4,068 shares and receives large option and RSU grants

Filing Impact
(Moderate)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Alkermes plc executive David Joseph Gaffin, EVP and CLO of Alkermes, Inc., reported a mix of share sales and new equity awards. He sold a total of 4,068 ordinary shares in open-market transactions at $29.29 and $29.76 per share under a pre-arranged Rule 10b5-1 trading plan and held 235,626 shares after the latest sale. He also received a grant of 78,292 stock options and 36,364 restricted stock units, which vest in four equal annual installments starting on March 2, 2027.

Positive

  • None.

Negative

  • None.
Insider Gaffin David Joseph
Role EVP, CLO, Alkermes, Inc.
Sold 4,068 shs ($120K)
Type Security Shares Price Value
Sale Ordinary Shares 2,034 $29.76 $61K
Grant/Award Employee Stock Option (Right to Buy) 78,292 $0.00 --
Grant/Award Restricted Stock Unit Award 36,364 $0.00 --
Sale Ordinary Shares 2,034 $29.29 $60K
Holdings After Transaction: Ordinary Shares — 235,626 shares (Direct); Employee Stock Option (Right to Buy) — 78,292 shares (Direct); Restricted Stock Unit Award — 36,364 shares (Direct)
Footnotes (1)
  1. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/19/2025. Shares underlying the stock option vest and become exercisable in four equal annual installments, commencing on 3/2/2027. Each restricted stock unit represents a contingent right to receive one ordinary share. Shares subject to the restricted stock unit award vest in four equal annual installments, commencing on 3/2/2027.
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Form 4 Insider Transactions: What Each Field Means →
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).
X
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Gaffin David Joseph
(Last) (First) (Middle)
900 WINTER STREET
(Street)
WALTHAM MA 02451
(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)
Director 10% Owner
X Officer (give title below) Other (specify below)
EVP, CLO, Alkermes, Inc.
3. Date of Earliest Transaction (Month/Day/Year)
03/02/2026
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
Ordinary Shares 03/02/2026 S(1) 2,034 D $29.29 237,660 D
Ordinary Shares 03/03/2026 S(1) 2,034 D $29.76 235,626 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 (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) $30.25 03/02/2026 A 78,292 (2) 03/02/2036 Ordinary Shares 78,292 $0 78,292 D
Restricted Stock Unit Award (3) 03/02/2026 A 36,364 (4) (4) Ordinary Shares 36,364 $0 36,364 D
Explanation of Responses:
1. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/19/2025.
2. Shares underlying the stock option vest and become exercisable in four equal annual installments, commencing on 3/2/2027.
3. Each restricted stock unit represents a contingent right to receive one ordinary share.
4. Shares subject to the restricted stock unit award vest in four equal annual installments, commencing on 3/2/2027.
/s/ Shantale Greenson, attorney-in-fact for David Joseph Gaffin 03/04/2026
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider activity did Alkermes (ALKS) EVP David Gaffin report on this Form 4?

Alkermes EVP David Joseph Gaffin reported both share sales and new equity awards. He sold 4,068 ordinary shares in open-market transactions and received grants of stock options and restricted stock units as part of his compensation package.

How many Alkermes (ALKS) shares did David Gaffin sell and at what prices?

David Gaffin sold a total of 4,068 Alkermes ordinary shares. The sales were executed in two open-market transactions at prices of $29.29 and $29.76 per share, according to the reported Form 4 insider filing.

Were David Gaffin’s Alkermes (ALKS) share sales under a Rule 10b5-1 plan?

Yes. The filing states the share sale was effected under a Rule 10b5-1 trading plan adopted on November 19, 2025. Such plans pre-schedule trades, helping executives diversify holdings while addressing potential concerns about trading on nonpublic information.

What stock option award did David Gaffin receive from Alkermes (ALKS)?

David Gaffin received an employee stock option award covering 78,292 shares at an exercise price of $0.00 per option. The underlying shares vest and become exercisable in four equal annual installments, beginning on March 2, 2027, subject to continued service.

What restricted stock unit (RSU) award did Alkermes (ALKS) grant to David Gaffin?

Alkermes granted David Gaffin 36,364 restricted stock units. Each RSU represents a contingent right to receive one ordinary share. These RSUs vest in four equal annual installments starting March 2, 2027, aligning long-term incentives with future company performance.

How many Alkermes (ALKS) shares did David Gaffin hold after the reported sales?

After the most recent reported open-market sale, David Gaffin held 235,626 Alkermes ordinary shares directly. This figure reflects his remaining direct ownership as reported in the Form 4 following the March 3, 2026 transaction.

How do the vesting terms work for David Gaffin’s new Alkermes (ALKS) equity awards?

Both the stock options and restricted stock units vest in four equal annual installments. Vesting for each award begins on March 2, 2027, meaning one-quarter of each grant is scheduled to vest on that date and annually thereafter, assuming continued employment.