SEC Form 4 · accession 0001209191-18-005145
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
Director
Period of report
Jan 22, 2018
Accepted (ET)
Jan 24, 2018 · 4:43 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 StockF2,F3 | Jan 22, 2018 | S | 5,000 | $19.55 | D | 36,946 | I | See Footnote |
| Common StockF4,F5 | Jan 22, 2018 | S | 5,000 | $19.54 | D | 57,405 | I | See Footnote |
| Common StockF6,F3 | Jan 23, 2018 | S | 5,000 | $19.67 | D | 31,946 | I | See Footnote |
| Common StockF7,F5 | Jan 23, 2018 | S | 5,000 | $19.68 | D | 52,405 | I | See Footnote |
| Common StockF8,F3 | Jan 24, 2018 | S | 5,000 | $19.83 | D | 26,946 | I | See Footnote |
| Common StockF8,F5 | Jan 24, 2018 | S | 5,000 | $19.83 | D | 47,405 | I | See Footnote |
| Common Stock | holding | — | — | — | 286,975 | D |
Table II — derivative securities
No Table II lines on this filing.
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 $19.41 to $19.82. The average weighted price was $19.55. 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.
- F3Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.
- F4The range of prices for the transaction reported on this line was $19.37 to $19.84. The average weighted price was $19.54. 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.
- F5Shares 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.
- F6The range of prices for the transaction reported on this line was $19.47 to $19.85. The average weighted price was $19.67. 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.
- F7The range of prices for the transaction reported on this line was $19.47 to $19.85. The average weighted price was $19.68. 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.
- F8The range of prices for the transaction reported on this line was $19.61 to $20.00. The average weighted price was $19.83. 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.