SEC Form 4 · accession 0001209191-18-006478
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
Director
Period of report
Jan 30, 2018
Accepted (ET)
Feb 1, 2018 · 4:36 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 30, 2018 | S | 5,000 | $21.33 | D | 6,946 | I | See Footnote |
| Common StockF4,F3 | Jan 31, 2018 | S | 4,700 | $20.78 | D | 2,246 | I | See Footnote |
| Common StockF5,F3 | Jan 31, 2018 | S | 300 | $21.29 | D | 1,946 | I | See Footnote |
| Common StockF3 | Feb 1, 2018 | S | 1,946 | $19.99 | D | 0 | I | See Footnote |
| Common Stock | holding | — | — | — | 286,975 | D | ||
| Common StockF6 | holding | — | — | — | 44,351 | I | See Footnote |
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 $20.80 to $21.65. The average weighted price was $21.33. 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 $20.23 to $21.23. The average weighted price was $20.78. 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.
- F5The range of prices for the transaction reported on this line was $21.25 to $21.33. The average weighted price was $21.29. 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.