SEC Form 4 · accession 0000899866-16-000267
ALEXION PHARMACEUTICALS, INC. · ALXN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John B Moriarty
Officer — EVP & General Counsel
Period of report
Feb 26, 2016
Accepted (ET)
Mar 1, 2016 · 6:32 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 26, 2016 | A | 5,000 | $0.00 | A | 53,479 | D | |
| Common Stock, par value $.0001 per shareF2,F3 | Feb 29, 2016 | S | 1,200 | $138.91 | D | 52,279 | D | |
| Common Stock, par value $.0001 per shareF2,F4 | Feb 29, 2016 | S | 1 | $140.65 | D | 52,278 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF5 | $140.16 | Feb 26, 2016 | A | 31,000 | A | Feb 26, 2017 | Feb 26, 2026 | Common Stock, par value $.0001 per share | 31,000 | 31,000 | D |
Explanation of responses
- F1Award of Restricted Stock Units under the 2004 Incentive Plan. 25% vests on each anniversary of the grant date.
- F2This sale was made to cover withholding taxes immediately following the vesting of previously granted Restricted Stock Units.
- F3This 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.
- F4This 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.
- F525% vests on the first anniversary of the grant date and 1/16 every three months thereafter.