SEC Form 4 · accession 0000899866-17-000055
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 27, 2017
Accepted (ET)
Mar 1, 2017 · 7:44 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 27, 2017 | S | 860 | $131.20 | D | 33,980 | D | |
| Common Stock, par value $.0001 per shareF1,F2 | Feb 28, 2017 | S | 915 | $131.71 | D | 33,065 | D | |
| Common Stock, par value $.0001 per shareF3 | Feb 28, 2017 | A | 6,500 | $0.00 | A | 39,565 | D | |
| Common Stock, par value $.0001 per shareF1,F4 | Mar 1, 2017 | S | 404 | $132.50 | D | 39,161 | 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 | $131.25 | Feb 28, 2017 | A | 12,800 | A | Feb 28, 2018 | Feb 28, 2027 | Common Stock, par value $.0001 per share | 12,800 | 25,600 | D |
Explanation of responses
- F1This sale was made to cover withholding taxes immediately following the vesting of previously granted Restricted Stock Units.
- F2This transaction was executed in multiple trades through a broker-dealer at prices ranging from $131.00 - $131.99. 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.
- F3Award of Restricted Stock Units under the 2004 Incentive Plan. 25% vests on each anniversary of the grant date.
- F4This transaction was executed in multiple trades through a broker-dealer at prices ranging from $132.00 - $132.99. 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.
- F5Stock option award under 2004 Incentive Plan. 25% vest on the first anniversary of the grant date, 1/16 every three months thereafter until fully vested over 4 years.