SEC Form 4 · accession 0001209191-17-064201
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald W Barrett
Director
Period of report
Dec 4, 2017
Accepted (ET)
Dec 6, 2017 · 4:48 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 | Dec 4, 2017 | M | 3,539 | $4.41 | A | 3,539 | D | |
| Common Stock | Dec 4, 2017 | M | 3,539 | $3.79 | A | 7,078 | D | |
| Common Stock | Dec 4, 2017 | M | 3,539 | $3.50 | A | 10,617 | D | |
| Common Stock | Dec 4, 2017 | M | 3,539 | $2.88 | A | 14,156 | D | |
| Common Stock | Dec 4, 2017 | S | 14,156 | $24.70 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-qualified Stock Option (right to buy)F1 | $4.41 | Dec 4, 2017 | M | 3,539 | D | — | Dec 10, 2019 | Common Stock | 3,539 | 0 | D |
| Non-qualified Stock Option (right to buy)F1 | $3.79 | Dec 4, 2017 | M | 3,539 | D | — | Dec 3, 2020 | Common Stock | 3,539 | 0 | D |
| Non-qualified Stock Option (right to buy)F1 | $3.50 | Dec 4, 2017 | M | 3,539 | D | — | Nov 1, 2021 | Common Stock | 3,539 | 0 | D |
| Non-qualified Stock Option (right to buy)F1 | $2.88 | Dec 4, 2017 | M | 3,539 | D | — | Nov 12, 2022 | Common Stock | 3,539 | 0 | D |
Explanation of responses
- F1This option is fully vested.