Filing Details
- Accession Number:
- 0000903423-14-000118
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-20 18:56:53
- Reporting Period:
- 2014-02-19
- Filing Date:
- 2014-02-20
- Accepted Time:
- 2014-02-20 18:56:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1131399 | Plc Glaxosmithkline | 980 Great West Road Brentford Middlesex, X0 TW 89GS | No | No | No | Yes |
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 | 141,592 | $0.00 | 141,592 | No | 4 | C | Indirect | By S.R. One Limited |
| Common Stock | Acquisiton | 2014-02-19 | 1,179,941 | $0.00 | 1,321,533 | No | 4 | C | Indirect | By Glaxo Group Limited |
| Common Stock | Acquisiton | 2014-02-19 | 35,000 | $14.00 | 1,356,533 | No | 4 | P | Indirect | By S.R. One Limited |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | By S.R. One Limited |
| No | 4 | C | Indirect | By Glaxo Group Limited |
| No | 4 | P | Indirect | By S.R. One Limited |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-02-19 | 800,000 | $0.00 | 141,592 | $0.00 |
| Common Stock | Series D Convertible Preferred Stock | Disposition | 2014-02-19 | 6,666,667 | $0.00 | 1,179,941 | $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 |
Footnotes
- The Series C Convertible Preferred Stock and Series D Convertible Preferred Stock of Concert Pharmaceuticals, Inc. (the "Issuer") automatically converted into Common Stock of the Issuer on a 1-for-5.65 basis upon the closing of the Issuer's initial public offering on February 19, 2014 without payment of consideration.
- Shares are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
- Shares are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of the Reporting Person.
- Not applicable.
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