SEC Form 4 · accession 0000899243-17-007046
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nancy Stuart
Officer — Chief Operating Officer
Period of report
Mar 8, 2017
Accepted (ET)
Mar 9, 2017 · 6:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001367920
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 8, 2017 | M | 2,098 | $1.13 | A | 41,049 | D | |
| Common StockF1 | Mar 8, 2017 | F | 147 | $16.04 | D | 40,902 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $1.13 | Mar 8, 2017 | M | 2,098 | D | — | Dec 11, 2017 | Common Stock | 2,098 | 0 | D |
Explanation of responses
- F1This Form is being filed to report the exercise of a stock option for a total of 2,098 shares by means of a stock swap. A stock swap is a method of exercising a stock option in which the option holder attests to the ownership of enough shares of stock already owned by the option holder to cover the exercise price of the option being exercised. As a result of this stock swap, the Reporting Person acquired ownership of an additional 1,951 shares of common stock.
- F2This option is fully vested.