SEC Form 4/A · accession 0001209191-18-024834
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Roger D Tung
Officer — Chief Executive Officer · Director
Period of report
Mar 21, 2018
Accepted (ET)
Apr 13, 2018 · 4:46 pm EDT
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 StockF1,F2 | Mar 31, 2018 | F | 5,890 | $22.90 | D | 598,923 | D | |
| Common StockF3 | holding | — | — | — | 121,873 | I | By Roger D. Tung 2011 GRAT | |
| Common StockF4 | holding | — | — | — | 13,274 | I | By Tung Family Investment Trust | |
| Common StockF5 | holding | — | — | — | 12,389 | I | By RD Tung Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Transaction represents withholding of shares to satisfy tax withholding obligations upon the vesting of restricted stock units.
- F2This amendment is being filed to reduce the number of securities beneficially owned by the reporting person by 40,000 shares of common stock due to the failure to achieve certain performance criteria set forth in the restricted stock unit grant agreement with the reporting person dated July 6, 2017.
- F3Shares 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.
- F4Shares 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.
- F5Shares 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.