Filing Details
- Accession Number:
- 0001209191-14-012941
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-21 14:02:36
- Reporting Period:
- 2014-02-19
- Filing Date:
- 2014-02-21
- Accepted Time:
- 2014-02-21 14:02:36
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1367920 | Concert Pharmaceuticals Inc. | CNCE | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1290166 | Qvt Associates Gp Llc | 1177 Avenue Of The Americas, 9Th Floor New York NY 10036 | No | No | Yes | No | |
| 1543904 | Qvt Fund V Lp | 1177 Avenue Of The Americas, 9Th Floor New York NY 10036 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 Par Value | Acquisiton | 2014-02-19 | 259,999 | $0.00 | 259,999 | No | 4 | C | Indirect | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Common Stock, $0.001 Par Value | Acquisiton | 2014-02-19 | 300,000 | $14.00 | 559,999 | No | 4 | P | Indirect | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
| No | 4 | P | Indirect | Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2014-02-19 | 250,000 | $0.00 | 44,247 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-02-19 | 1,000,000 | $0.00 | 176,991 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-02-19 | 219,000 | $0.00 | 38,761 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- The Series A, Series B and Series C convertible preferred stock converted into Common Stock on a 1-for-5.65 basis upon the closing of the issuer's initial public offering without payment of consideration.
- QVT Associates GP LLC is the general partner of QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. (together with QVT Fund IV LP, and QVT Fund V LP, the "Funds"). QVT Financial LP is the investment manager for the Funds and therefore may be deemed the beneficial owner of the Common Stock held by the Funds. QVT Financial GP LLC is the general partner of QVT Financial LP and therefore may be deemed the beneficial owner of Common Stock beneficially owned by QVT Financial LP. The reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
- Not applicable.
- These 300,000 shares were purchased by the Funds in the Issuer's initial public offering, at which time the reporting persons were no longer 10% owners or otherwise subject to Section 16.
Billionaire Hedge Funds
