Filing Details
- Accession Number:
- 0001209191-14-012093
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-20 08:35:25
- Reporting Period:
- 2014-02-19
- Filing Date:
- 2014-02-20
- Accepted Time:
- 2014-02-20 08:35:25
- 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 |
|---|---|---|---|---|---|---|---|
| 1133921 | Helmut Schuhsler | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | Yes | No | Yes | No | |
| 1318584 | Tvm Life Science Ventures Vi Lp | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | No | No | Yes | No | |
| 1397372 | Alexandra Goll | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | No | No | Yes | No | |
| 1398596 | Stefan Fischer | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | No | No | Yes | No | |
| 1398598 | Hubert Birner | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | No | No | Yes | No | |
| 1579076 | Axel Polack | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | No | No | Yes | No | |
| 1599744 | Tvm Life Science Ventures Vi Gmbh & Co Kg | C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333 | Yes | 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 | Acquisiton | 2014-02-19 | 289,991 | $0.00 | 329,535 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-02-19 | 560,211 | $0.00 | 889,746 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-02-19 | 148,936 | $0.00 | 1,038,682 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-02-19 | 99,389 | $0.00 | 112,942 | No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| Common Stock | Acquisiton | 2014-02-19 | 192,003 | $0.00 | 304,945 | No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| Common Stock | Acquisiton | 2014-02-19 | 51,045 | $0.00 | 355,990 | No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| Common Stock | Acquisiton | 2014-02-19 | 66,287 | $14.00 | 1,104,969 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2014-02-19 | 22,713 | $14.00 | 378,703 | No | 4 | P | Indirect | By TVM Life Sciences Ventures VI LP |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| No | 4 | C | Indirect | By TVM Life Sciences Ventures VI LP |
| No | 4 | P | Direct | |
| No | 4 | P | Indirect | By TVM Life Sciences Ventures VI LP |
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 | 1,638,450 | $0.00 | 289,991 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-02-19 | 3,165,187 | $0.00 | 560,211 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-02-19 | 841,493 | $0.00 | 148,936 | $0.00 |
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2014-02-19 | 561,550 | $0.00 | 99,389 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-02-19 | 1,084,813 | $0.00 | 192,003 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-02-19 | 288,407 | $0.00 | 51,045 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 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.
- The shares are directly held by TVM Life Sciences Ventures VI GMBH & Co. KG ("TVM VI"). Alexandra Goll ("Goll"), Helmut Schuhsler ("Schuhsler"), Hubert Birner ("Birner"), Stefan Fischer ("Fischer") and Alex Polack ("Polack") are members of the investment committee of TVM Life Sciences Ventures VI Management VI Limited Partnership ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management and these individuals each disclaim beneficial ownership of the shares held by TVM VI except to the extent of any pecuniary interest therein.
- The shares are directly held by TVM Life Sciences Ventures VI LP ("TVM VI LP"). Goll, Schuhsler, Birner, Fischer and Polack are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management and these individuals each disclaim beneficial ownership of the shares held by TVM VI LP except to the extent of any pecuniary interest therein.
- Not applicable.
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