SEC Form 4 · accession 0001209191-15-025617
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pauline McGowan
Officer — VP, Finance
Period of report
Mar 11, 2015
Accepted (ET)
Mar 12, 2015 · 4:11 pm EDT
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 Stock | Mar 11, 2015 | M | 5,973 | $3.50 | A | 5,973 | D | |
| Common Stock | Mar 11, 2015 | S | 5,973 | $16.00 | D | 0 | 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)F3 | $3.50 | Mar 11, 2015 | M | 5,973 | D | — | Dec 12, 2021 | Common Stock | 5,973 | 1,991 | D |
Explanation of responses
- F1This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
- F3This option vested as to 6.25% of the original 7,694 shares on March 12, 2012 and vests as to an additional 6.25% of the original shares at the end of each successive three-month period through and including December 12, 2015.