CONCERT PHARMACEUTICALS, INC. 4

Accession 0001209191-14-012994

CIK 0001367920operating

View on SEC.gov Company Profile

Filed

Feb 20, 7:00 PM ET

Accepted

Feb 21, 3:18 PM ET

Size

38.2 KB

Accession

0001209191-14-012994

Insider Transaction Report

Form 4

Period: 2014-02-19

CONCERT PHARMACEUTICALS, INC.CNCE

Three Arch Management IV, L.L.C.

Director10% Owner

Transactions

Conversion
Common Stock
2014-02-19+1,529→ 15,465 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+346,335→ 631,195 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+69,267→ 700,462 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+101,264$1,417,696→ 801,726 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+259,751→ 284,860 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+2,236$31,304→ 17,701 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−32,405→ 0 total(indirect: See footnote)
→ Common Stock (5,735 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−43,206→ 0 total(indirect: See footnote)
→ Common Stock (7,647 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−8,641→ 0 total(indirect: See footnote)
→ Common Stock (1,529 underlying)
Conversion
Series A Convertible Preferred Stock
2014-02-19−1,467,595→ 0 total(indirect: See footnote)
→ Common Stock (259,751 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−1,956,794→ 0 total(indirect: See footnote)
→ Common Stock (346,335 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−391,359→ 0 total(indirect: See footnote)
→ Common Stock (69,267 underlying)
Conversion
Common Stock
2014-02-19+5,735→ 6,289 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+7,647→ 13,936 total(indirect: See footnote)

JAEGER WILFRED E

Director10% Owner

Transactions

Conversion
Common Stock
2014-02-19+5,735→ 6,289 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+7,647→ 13,936 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+1,529→ 15,465 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+259,751→ 284,860 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+346,335→ 631,195 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+69,267→ 700,462 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+101,264$1,417,696→ 801,726 total(indirect: See footnote)
Conversion
Series B Convertible Preferred Stock
2014-02-19−43,206→ 0 total(indirect: See footnote)
→ Common Stock (7,647 underlying)
Conversion
Series A Convertible Preferred Stock
2014-02-19−1,467,595→ 0 total(indirect: See footnote)
→ Common Stock (259,751 underlying)
Purchase
Common Stock
2014-02-19$14.00/sh+2,236$31,304→ 17,701 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−32,405→ 0 total(indirect: See footnote)
→ Common Stock (5,735 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−8,641→ 0 total(indirect: See footnote)
→ Common Stock (1,529 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−1,956,794→ 0 total(indirect: See footnote)
→ Common Stock (346,335 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−391,359→ 0 total(indirect: See footnote)
→ Common Stock (69,267 underlying)

WAN MARK A

10% Owner

Transactions

Conversion
Series C Convertible Preferred Stock
2014-02-19−391,359→ 0 total(indirect: See footnote)
→ Common Stock (69,267 underlying)
Conversion
Common Stock
2014-02-19+5,735→ 6,289 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+7,647→ 13,936 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+259,751→ 284,860 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+346,335→ 631,195 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+2,236$31,304→ 17,701 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−32,405→ 0 total(indirect: See footnote)
→ Common Stock (5,735 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−8,641→ 0 total(indirect: See footnote)
→ Common Stock (1,529 underlying)
Conversion
Series A Convertible Preferred Stock
2014-02-19−1,467,595→ 0 total(indirect: See footnote)
→ Common Stock (259,751 underlying)
Conversion
Common Stock
2014-02-19+1,529→ 15,465 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+69,267→ 700,462 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+101,264$1,417,696→ 801,726 total(indirect: See footnote)
Conversion
Series B Convertible Preferred Stock
2014-02-19−43,206→ 0 total(indirect: See footnote)
→ Common Stock (7,647 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−1,956,794→ 0 total(indirect: See footnote)
→ Common Stock (346,335 underlying)

THREE ARCH ASSOCIATES IV LP

10% Owner

Transactions

Conversion
Common Stock
2014-02-19+5,735→ 6,289 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+7,647→ 13,936 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+1,529→ 15,465 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+259,751→ 284,860 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+346,335→ 631,195 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+69,267→ 700,462 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+2,236$31,304→ 17,701 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−32,405→ 0 total(indirect: See footnote)
→ Common Stock (5,735 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−43,206→ 0 total(indirect: See footnote)
→ Common Stock (7,647 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−8,641→ 0 total(indirect: See footnote)
→ Common Stock (1,529 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−1,956,794→ 0 total(indirect: See footnote)
→ Common Stock (346,335 underlying)
Purchase
Common Stock
2014-02-19$14.00/sh+101,264$1,417,696→ 801,726 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−1,467,595→ 0 total(indirect: See footnote)
→ Common Stock (259,751 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−391,359→ 0 total(indirect: See footnote)
→ Common Stock (69,267 underlying)

THREE ARCH PARTNERS IV LP

10% Owner

Transactions

Conversion
Common Stock
2014-02-19+7,647→ 13,936 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+1,529→ 15,465 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+69,267→ 700,462 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+101,264$1,417,696→ 801,726 total(indirect: See footnote)
Conversion
Series A Convertible Preferred Stock
2014-02-19−32,405→ 0 total(indirect: See footnote)
→ Common Stock (5,735 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−43,206→ 0 total(indirect: See footnote)
→ Common Stock (7,647 underlying)
Conversion
Series C Convertible Preferred Stock
2014-02-19−8,641→ 0 total(indirect: See footnote)
→ Common Stock (1,529 underlying)
Conversion
Series A Convertible Preferred Stock
2014-02-19−1,467,595→ 0 total(indirect: See footnote)
→ Common Stock (259,751 underlying)
Conversion
Series B Convertible Preferred Stock
2014-02-19−1,956,794→ 0 total(indirect: See footnote)
→ Common Stock (346,335 underlying)
Conversion
Common Stock
2014-02-19+5,735→ 6,289 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+259,751→ 284,860 total(indirect: See footnote)
Conversion
Common Stock
2014-02-19+346,335→ 631,195 total(indirect: See footnote)
Purchase
Common Stock
2014-02-19$14.00/sh+2,236$31,304→ 17,701 total(indirect: See footnote)
Conversion
Series C Convertible Preferred Stock
2014-02-19−391,359→ 0 total(indirect: See footnote)
→ Common Stock (69,267 underlying)

Footnotes (4)

[F1]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.
[F2]These shares are owned directly by Three Arch Associates IV, L.P. ("TAA IV"). Three Arch Management IV, L.L.C. ("TAM IV") is the general partner of TAA IV, and Wilfred Jaeger and Mark Wan, the Managing Members of TAM IV, may be deemed to share voting and dispositive power over the shares held by TAA IV. Such persons and entities disclaim beneficial ownership of the shares held by TAA IV except to the extent of any pecuniary interest therein.
[F3]These shares are owned directly by Three Arch Partners IV, L.P. ("TAP IV"). Three Arch Management IV, L.L.C. ("TAM IV") is the general partner of TAP IV, and Wilfred Jaeger and Mark Wan, the Managing Members of TAM IV, may be deemed to share voting and dispositive power over the shares held by TAP IV. Such persons and entities disclaim beneficial ownership of the shares held by TAP IV except to the extent of any pecuniary interest therein.
[F4]Not applicable.

Documents

1 file

4
doc4.xmlPrimary
FORM 4 SUBMISSION

Issuer

CONCERT PHARMACEUTICALS, INC.

CIK 0001367920

→

Entity typeoperating

Related Parties

filerCIK 0001367920

Filing Metadata

Form type: 4
Filed: Feb 20, 7:00 PM ET
Accepted: Feb 21, 3:18 PM ET
Size: 38.2 KB

View on SEC.gov