SEC Form 4 · accession 0000899866-16-000239
ALEXION PHARMACEUTICALS, INC. · ALXN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Martin Mackay
Officer — EVP & Global Head of R&D
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 7:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000899866
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $.0001 per shareF1 | Feb 4, 2016 | A | 11,763 | $0.00 | A | 44,656 | D | |
| Common Stock, par value $.0001 per shareF2,F3 | Feb 5, 2016 | S | 100 | $145.54 | A | 44,756 | D | |
| Common Stock, par value $.0001 per shareF2,F4 | Feb 5, 2016 | S | 362 | $144.40 | D | 44,394 | D | |
| Common Stock, par value $.0001 per shareF2,F5 | Feb 5, 2016 | S | 100 | $143.53 | D | 44,294 | D | |
| Common Stock, par value $.0001 per shareF2,F6 | Feb 5, 2016 | S | 100 | $142.11 | D | 44,194 | D | |
| Common Stock, par value $.0001 per shareF2,F7 | Feb 5, 2016 | S | 400 | $141.19 | D | 43,794 | D | |
| Common Stock, par value $.0001 per shareF2,F8 | Feb 5, 2016 | S | 1,043 | $140.47 | D | 42,751 | D | |
| Common Stock, par value $.0001 per shareF2,F8 | Feb 8, 2016 | S | 58 | $140.32 | D | 42,693 | D | |
| Common Stock, par value $.0001 per shareF2,F9 | Feb 8, 2016 | S | 1,908 | $138.02 | D | 40,785 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On February 4, 2016, the Leadership and Compensation Committee determined that the reporting person earned 11,763 Performance Share Units upon achievement of certain performance targets previously established by the Committee. 1/3 of such shares vested on February 4, 2016 and 1/3 vest on each subsequent anniversary.
- F2This sale was made to cover withholding taxes immediately following the vesting of previously granted Performance Stock Units.
- F3This transaction was executed in multiple trades through a broker-dealer at prices ranging from $145.00 - $145.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F4This transaction was executed in multiple trades through a broker-dealer at prices ranging from $144.00 - $144.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F5This transaction was executed in multiple trades through a broker-dealer at prices ranging from $143.00 - $143.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F6This transaction was executed in multiple trades through a broker-dealer at prices ranging from $142.00 - $142.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F7This transaction was executed in multiple trades through a broker-dealer at prices ranging from $141.00 - $141.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F8This transaction was executed in multiple trades through a broker-dealer at prices ranging from $140.00 - $140.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.
- F9This transaction was executed in multiple trades through a broker-dealer at prices ranging from $138.00 - $138.99. The price reported in this column reflects the weighted average sales price. Upon request, the reporting person will provide to the SEC staff full information regarding the number of shares sold at each price.