SEC Form 4 · accession 0000899866-17-000007
ALEXION PHARMACEUTICALS, INC. · ALXN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard Bell
Director
Period of report
Jan 5, 2017
Accepted (ET)
Jan 9, 2017 · 5:21 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 | Jan 5, 2017 | M | 34,210 | $22.90 | A | 438,497 | D | |
| Common Stock, par value $.0001 per shareF1,F2 | Jan 5, 2017 | S | 17,105 | $135.07 | D | 421,392 | D | |
| Common Stock, par value $.0001 per shareF1,F3 | Jan 5, 2017 | S | 17,105 | $139.98 | D | 404,287 | D | |
| Common Stock, par value $.0001 per shareF1 | Jan 5, 2017 | S | 334 | $134.90 | D | 403,953 | I | By trust |
| Common Stock, par value $.0001 per shareF1 | Jan 5, 2017 | S | 334 | $139.90 | D | 403,619 | I | By trust |
| Common Stock, par value $.0001 per shareF1 | Jan 9, 2017 | M | 4,853 | $22.90 | A | 408,472 | D | |
| Common Stock, par value $.0001 per shareF1,F4 | Jan 9, 2017 | S | 4,853 | $144.93 | D | 403,619 | D | |
| Common Stock, par value $.0001 per shareF1 | Jan 9, 2017 | S | 334 | $144.90 | D | 403,285 | I | By trust |
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 StockF1 | $22.90 | Jan 5, 2017 | M | 34,210 | D | Apr 28, 2010 | Jan 28, 2020 | Common Stock, par value $.0001 per share | 34,210 | 81,791 | D |
| Option to Purchase Common Stock | $22.90 | Jan 9, 2017 | M | 4,853 | D | Apr 28, 2010 | Jan 28, 2020 | Common Stock, par value $.0001 per share | 4,853 | 76,938 | D |
Explanation of responses
- F1This transaction is made pursuant to the terms of a sales plan designed to meet the requirements of Rule 10b5-1(c)(1) of the Securities Exchange Act.
- F2This transaction was executed in multiple trades through a broker-dealer at prices ranging from $134.90 - $135.90. 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 $139.90 - $140.90. 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 $144.90 - $145.89. 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.