Filing Details

Accession Number:
0001209191-18-004255
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-01-18 16:26:34
Reporting Period:
2018-01-16
Accepted Time:
2018-01-18 16:26:34
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1367920 Concert Pharmaceuticals Inc. CNCE () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1185039 Richard Aldrich C/O Concert Pharmaceuticals, Inc.
99 Hayden Avenue, Suite 500
Lexington MA 02421
Yes No No 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 2018-01-16 5,309 $4.41 292,284 No 4 M Direct
Common Stock Acquisiton 2018-01-16 5,309 $3.79 297,593 No 4 M Direct
Common Stock Acquisiton 2018-01-16 5,309 $3.50 302,902 No 4 M Direct
Common Stock Acquisiton 2018-01-16 5,309 $2.88 308,211 No 4 M Direct
Common Stock Disposition 2018-01-16 21,236 $19.08 286,975 No 4 S Direct
Common Stock Disposition 2018-01-16 5,000 $19.27 56,946 No 4 S Indirect See Footnote
Common Stock Disposition 2018-01-16 5,000 $19.26 77,405 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 M Direct
No 4 S Direct
No 4 S Indirect See Footnote
No 4 S Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2018-01-16 5,309 $0.00 5,309 $4.41
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2018-01-16 5,309 $0.00 5,309 $3.79
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2018-01-16 5,309 $0.00 5,309 $3.50
Common Stock Non-Qualified Stock Option (Right to Buy) Disposition 2018-01-16 5,309 $0.00 5,309 $2.88
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-12-10 No 4 M Direct
0 2020-12-03 No 4 M Direct
0 2021-11-01 No 4 M Direct
0 2022-11-12 No 4 M Direct
Footnotes
  1. This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.
  2. The range of prices for the transaction reported on this line was $18.91 to $19.70. The average weighted price was $19.08. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  3. The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.27. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  4. Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.
  5. The range of prices for the transaction reported on this line was $19.00 to $19.42. The average weighted price was $19.26. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
  6. Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
  7. This exercise was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.
  8. This option is fully vested.