SEC Form 4 · accession 0001209191-15-070808
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
Sep 14, 2015
Accepted (ET)
Sep 15, 2015 · 5:34 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 | Sep 14, 2015 | M | 497 | $3.50 | A | 497 | D | |
| Common StockF3 | Sep 14, 2015 | S | 497 | $18.9745 | 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)F4 | $3.50 | Sep 14, 2015 | M | 497 | D | — | Dec 12, 2021 | Common Stock | 497 | 498 | D |
Explanation of responses
- F1This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 17, 2014.
- F2This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 17, 2014.
- F3Represents the weighted average sales price for shares sold in multiple transactions. Sales prices ranged from $18.79 to $19.25 per share. Upon request of the staff of the Securities and Exchange Commission, the issuer or a security holder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price
- F4This option vested as to 6.25% of the original 7,964 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.