-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EQM9HAU9ZQ3F3WNRfZ4GxDfYpBQ1EClY0UL91D/oitajBiMMAnTPPbFn7hFZM/a2 35cwcAqRHZaul3+fOjRkyw== 0000950135-00-001329.txt : 20000313 0000950135-00-001329.hdr.sgml : 20000313 ACCESSION NUMBER: 0000950135-00-001329 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000310 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALKERMES INC CENTRAL INDEX KEY: 0000874663 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 232472830 STATE OF INCORPORATION: PA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 424B3 SEC ACT: SEC FILE NUMBER: 333-31354 FILM NUMBER: 565643 BUSINESS ADDRESS: STREET 1: 64 SIDNEY ST CITY: CAMBRIDGE STATE: MA ZIP: 02139-4136 BUSINESS PHONE: 6174940171 424B3 1 ALKERMES INC 424B3 1 Prospectus Supplement No. 1 Filed pursuant to Rule 424(b)(3) to Prospectus dated March 6, 2000 Registration No. 333-31354 ALKERMES, INC. $250,000,000 3 3/4% CONVERTIBLE SUBORDINATED NOTES DUE 2007 1,845,018 SHARES OF COMMON STOCK This prospectus supplement supplements information contained in the prospectus of Alkermes, Inc. dated March 6, 2000 relating to the potential resale from time to time of the 3 3/4% Convertible Subordinated Notes due 2007 of Alkermes and the resale of shares of common stock of Alkermes issuable upon conversion of the notes. This prospectus supplement is not complete without, and may not be delivered or utilized except in connection with, the prospectus, including any amendments or supplements thereto. The following table supplements the information set forth in the prospectus under the caption "Selling Securityholders" with respect to the selling securityholders and the respective principal amount of notes which are beneficially owned and may be sold by each selling securityholder, and the number of shares of common stock that may be sold by the selling securityholders pursuant to this prospectus, as amended or supplemented:
Principal Amount of Number of Shares of Common Stock Notes Beneficially Issued Upon Conversion of the Name of Selling Securityholder (1) Owned and Offered Notes that May be Offered (2) AIG/National Union Fire Insurance $ 750,000 5,535 Aloha Airlines Non-Pilots Pension Trust 90,000 664 Aloha Airlines Pilots Retirement Trust 50,000 369 Arkansas Teachers Retirement System 5,790,000 42,730 Bancroft Convertible Fund, Inc. 250,000 1,845 Baptist Health of South Florida 385,000 2,841 BNP Arbitrage SNC 5,750,000 42,435 Boston Museum of Fine Arts 257,000 1,896 C&H Sugar Company, Inc. 140,000 1,033 California Public Employees' Retirement System 3,000,000 22,140 CIBC World Markets International Arbitrage Corp. 3,500,000 25,830 Delaware PERS 1,375,000 10,147 Donaldson, Lufkin & Jenrette Securities Corp. 3,500,000 25,830 Ellsworth Convertible Growth and Income Fund, Inc. 250,000 1,845 Engineers Joint Pension Fund 788,000 5,815 EQAT Alliance Balanced Account 1,490,000 10,996 EQAT Alliance Growth & Income Account 2,210,000 16,309 EQAT Alliance Growth Investors 1,240,000 9,151 Equitable Life Assurance Separate Account-Balanced 80,000 590 Equitable Life Assurance Separate Account-Convertibles 1,260,000 9,298 Family Service Life Insurance Co. 200,000 1,476 First Republic Bank 115,000 848 Forest Alternative Strategies Fund II LP Series A 5 I 105,000 774 Forest Alternative Strategies Fund II LP Series A 5 M 40,000 295
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Principal Amount of Number of Shares of Common Stock Notes Beneficially Issued Upon Conversion of the Name of Selling Securityholder (1) Owned and Offered Notes that May be Offered (2) Forest Convertible Fund LP 217,000 1,601 Forest Fulcrum Fund LP 670,000 4,944 Forest Global Convertible Fund Series A-5 9,287,000 68,538 Guardian Life Insurance Co. 6,500,000 47,970 Guardian Pension Trust 300,000 2,214 Hawaiian Airlines Employees Pension Plan-IAM 80,000 590 Hawaiian Airlines Pension Plan for Salaried Employees 20,000 147 Hawaiian Airlines Pilots Retirement Plan 120,000 885 ICI American Holdings Trust 700,000 5,166 Island Holdings 45,000 332 Janus Enterprise Fund 25,000,000 184,501 Kellner, DiLeo & Co. 1,000,000 7,380 K.D. Offshore C.V. 500,000 3,690 LLT Limited 125,000 922 Merrill Lynch Convertible Fund, Inc. 100,000 738 Nalco Chemical Company 300,000 2,214 New York Life Insurance and Annuity Corporation 1,000,000 7,380 New York Life Insurance Company 10,250,000 75,645 Nicholas-Applegate Convertible Fund 1,598,000 11,793 Pacific Life Insurance Company 1,000,000 7,380 Paloma Strategic Securities Limited 3,200,000 23,616 Paloma Securities L.L.C. 4,800,000 35,424 Physicians Life 616,000 4,546 Pilgrim Convertible Fund 7,029,000 51,874 PIMCO Convertible Bond Fund 3,000,000 22,140 Queen's Health Plan 30,000 221 RBC Capital Services Inc. 140,000 1,033 Robertson Stephens 70,000,000 516,605 San Diego City Retirement 1,578,000 11,645 San Diego County Convertible 4,584,000 33,830 Starvest Combined Portfolio 975,000 7,195 State of Oregon Equity 5,500,000 40,590 State of Oregon/SAIF Corporation 4,175,000 30,811 The Frist Foundation 220,000 1,623 Wake Forest University 1,901,000 14,029 Writers Guild-Industry Health Fund 489,000 3,608 Zeneca Holdings Trust 675,000 4,981 Zurich Master Hedge Fund Index LTD 64,000 472
- ------------- (1) The information set forth herein is as of March 10, 2000 and will be updated as required. (2) Assumes conversion of the full principal amount of the notes held by such holder at the initial conversion price of $135.50 per share of common stock. THE DATE OF THIS PROSPECTUS SUPPLEMENT IS MARCH 10, 2000 2 -----END PRIVACY-ENHANCED MESSAGE-----