SEC Form 4 · accession 0000899866-16-000243
ALEXION PHARMACEUTICALS, INC. · ALXN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Clare Carmichael
Officer — EVP, Chief HR Officer
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 7:57 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,F2 | Feb 4, 2016 | S | 203 | $143.81 | D | 26,953 | D | |
| Common Stock, par value $.0001 per shareF1,F3 | Feb 4, 2016 | S | 4 | $145.13 | D | 26,949 | D | |
| Common Stock, par value $.0001 per shareF4 | Feb 4, 2016 | A | 11,763 | $0.00 | A | 38,712 | D | |
| Common Stock, par value $.0001 per shareF5,F3 | Feb 5, 2016 | S | 100 | $145.38 | D | 38,612 | D | |
| Common Stock, par value $.0001 per shareF5,F6 | Feb 5, 2016 | S | 300 | $144.33 | D | 38,312 | D | |
| Common Stock, par value $.0001 per shareF5,F2 | Feb 5, 2016 | S | 100 | $143.58 | D | 38,212 | D | |
| Common Stock, par value $.0001 per shareF5,F7 | Feb 5, 2016 | S | 160 | $142.15 | D | 38,052 | D | |
| Common Stock, par value $.0001 per shareF5,F8 | Feb 5, 2016 | S | 400 | $141.42 | D | 37,652 | D | |
| Common Stock, par value $.0001 per shareF5,F9 | Feb 5, 2016 | S | 933 | $140.44 | D | 36,719 | D | |
| Common Stock, par value $.0001 per shareF1,F10 | Feb 8, 2016 | S | 185 | $138.02 | D | 36,534 | D | |
| Common Stock, par value $.0001 per shareF5,F11 | Feb 8, 2016 | S | 79 | $139.13 | D | 36,455 | D | |
| Common Stock, par value $.0001 per shareF5,F10 | Feb 8, 2016 | S | 2,401 | $138.02 | D | 34,054 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This sale was made to cover withholding taxes immediately following the vesting of previously granted Restricted Stock Units.
- F10This 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.
- F11This transaction was executed in multiple trades through a broker-dealer at prices ranging from $139.00 - $139.99. 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.
- F2This 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.
- 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.
- F4On 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.
- F5This sale was made to cover withholding taxes immediately following the vesting of previously granted Performance Stock Units.
- F6This 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.
- F7This 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.
- F8This 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.
- F9This 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.