SEC Form 4 · accession 0001209191-17-061743
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger D Tung
Officer — Chief Executive Officer · Director
Period of report
Nov 17, 2017
Accepted (ET)
Nov 20, 2017 · 4:12 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 Stock | Nov 17, 2017 | M | 7,340 | $4.58 | A | 626,305 | D | |
| Common Stock | Nov 17, 2017 | F | 1,607 | $20.91 | D | 624,698 | D | |
| Common StockF1 | holding | — | — | — | 121,873 | I | By Roger D. Tung 2011 GRAT | |
| Common StockF2 | holding | — | — | — | 13,274 | I | By Tung Family Investment Trust | |
| Common StockF3 | holding | — | — | — | 12,389 | I | By RD Tung Irrevocable Trust |
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 | $4.58 | Nov 17, 2017 | M | 7,340 | D | — | Dec 19, 2018 | Common Stock | 7,340 | 27,757 | D |
Explanation of responses
- F1Shares held by Roger D. Tung 2011 GRAT. Dr. Tung is the sole trustee of the Roger D. Tung 2011 GRAT. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- F2Shares held by the Tung Family Investment Trust. Dr. Tung is a co-trustee of the Tung Family Investment Trust. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- F3Shares held by the RD Tung Irrevocable Trust. Dr. Tung's spouse is a co-trustee of the RD Tung Irrevocable Trust. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- F4This option is fully vested.