Filing Details
- Accession Number:
- 0001104659-14-012353
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-21 17:46:14
- Reporting Period:
- 2014-02-20
- Filing Date:
- 2014-02-21
- Accepted Time:
- 2014-02-21 17:46:14
- 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 |
|---|---|---|---|---|---|---|---|
| 1277503 | Yasunori Kaneko | 525 University Avenue Palo Alto CA 94301 | No | No | Yes | No | |
| 1324617 | P L Iv Fund Purchaser Qualified Partners Venture Skyline | 525 University Avenue Palo Alto CA 94301 | No | No | Yes | No | |
| 1392103 | Skyline Venture Management Iv, Llc | 525 University Avenue Palo Alto CA 94301 | 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 | Acquisiton | 2014-02-20 | 389,380 | $0.00 | 421,752 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2014-02-20 | 530,974 | $0.00 | 952,726 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2014-02-20 | 106,194 | $0.00 | 1,058,920 | No | 4 | C | Indirect | See Footnote |
| Common Stock | Acquisiton | 2014-02-20 | 150,000 | $14.00 | 1,208,920 | No | 4 | P | Indirect | See Footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | C | Indirect | See Footnote |
| No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A Convertible Preferred Stock | Disposition | 2014-02-20 | 2,200,000 | $0.00 | 389,380 | $0.00 |
| Common Stock | Series B Convertible Preferred Stock | Disposition | 2014-02-20 | 3,000,000 | $0.00 | 530,974 | $0.00 |
| Common Stock | Series C Convertible Preferred Stock | Disposition | 2014-02-20 | 600,000 | $0.00 | 106,194 | $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.
- Held by Skyline Venture Partners Qualified Purchaser Fund IV L.P. Dr. John G. Freund and Dr. Yasunori Kaneko are Managing Members of Skyline Venture Management IV, LLC, which is the sole general partner of Skyline Venture Partners Qualified Purchaser Fund IV, L.P., and as such may be deemed to share voting and dispositive power with respect to all shares held by Skyline Venture Partners Qualified Purchaser Fund IV, L.P. Drs. Freund and Kaneko disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein. Dr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.
- Not applicable.
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