SEC Form 4 · accession 0001209191-18-004255
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
Director
Period of report
Jan 16, 2018
Accepted (ET)
Jan 18, 2018 · 4:26 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 | Jan 16, 2018 | M | 5,309 | $4.41 | A | 292,284 | D | |
| Common Stock | Jan 16, 2018 | M | 5,309 | $3.79 | A | 297,593 | D | |
| Common Stock | Jan 16, 2018 | M | 5,309 | $3.50 | A | 302,902 | D | |
| Common Stock | Jan 16, 2018 | M | 5,309 | $2.88 | A | 308,211 | D | |
| Common StockF2 | Jan 16, 2018 | S | 21,236 | $19.08 | D | 286,975 | D | |
| Common StockF3,F4 | Jan 16, 2018 | S | 5,000 | $19.27 | D | 56,946 | I | See Footnote |
| Common StockF5,F6 | Jan 16, 2018 | S | 5,000 | $19.26 | D | 77,405 | I | See Footnote |
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)F8 | $4.41 | Jan 16, 2018 | M | 5,309 | D | — | Dec 10, 2019 | Common Stock | 5,309 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F8 | $3.79 | Jan 16, 2018 | M | 5,309 | D | — | Dec 3, 2020 | Common Stock | 5,309 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F8 | $3.50 | Jan 16, 2018 | M | 5,309 | D | — | Nov 1, 2021 | Common Stock | 5,309 | 0 | D |
| Non-Qualified Stock Option (Right to Buy)F8 | $2.88 | Jan 16, 2018 | M | 5,309 | D | — | Nov 12, 2022 | Common Stock | 5,309 | 0 | D |
Explanation of responses
- F1This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.
- F2The range of prices for the transaction reported on this line was $18.91 to $19.70. The average weighted price was $19.08. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F3The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.27. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F4Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.
- F5The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.26. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F6Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
- F7This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.
- F8This option is fully vested.