SEC Form 4 · accession 0001209191-18-058781
CONCERT PHARMACEUTICALS, INC. · CNCE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Aldrich
Director
Period of report
Nov 15, 2018
Accepted (ET)
Nov 15, 2018 · 5:21 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 StockF1 | Nov 15, 2018 | P | 10,000 | $11.9994 | A | 296,975 | D | |
| Common StockF2 | Nov 15, 2018 | P | 40,000 | $11.7817 | A | 336,975 | D | |
| Common StockF3 | holding | — | — | — | 44,351 | I | Indirect |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The range of prices for the transaction reported on this line was $11.97 to $12.00. The average price was $11.9994. 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.
- F2The range of prices for the transaction reported on this line was $11.625 to $12.00. The average price was $11.7817. 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 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.