Statement of Changes in Beneficial Ownership (4)
January 19 2018 - 4:36PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ALDRICH RICHARD
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2. Issuer Name
and
Ticker or Trading Symbol
CONCERT PHARMACEUTICALS, INC.
[
CNCE
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CONCERT PHARMACEUTICALS, INC., 99 HAYDEN AVENUE, SUITE 500
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/17/2018
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(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/17/2018
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S
(1)
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5000
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D
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$18.95
(2)
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51946
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I
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See Footnote
(3)
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Common Stock
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1/17/2018
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S
(1)
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5000
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D
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$19.03
(4)
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72405
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I
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See Footnote
(5)
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Common Stock
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1/18/2018
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S
(1)
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5000
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D
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$19.36
(6)
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46946
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I
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See Footnote
(3)
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Common Stock
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1/18/2018
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S
(1)
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5000
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D
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$19.43
(7)
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67405
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I
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See Footnote
(5)
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Common Stock
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1/19/2018
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S
(1)
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5000
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D
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$19.66
(8)
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41946
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I
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See Footnote
(3)
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Common Stock
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1/19/2018
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S
(1)
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5000
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D
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$19.65
(9)
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62405
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I
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See Footnote
(5)
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Common Stock
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286975
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.
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(2)
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The range of prices for the transaction reported on this line was $18.77 to $19.07. The average weighted price was $18.95. 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.
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(3)
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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.
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(4)
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The range of prices for the transaction reported on this line was $19.00 to $19.14. The average weighted price was $19.03. 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.
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(5)
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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.
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(6)
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The range of prices for the transaction reported on this line was $19.14 to $19.77. The average weighted price was $19.36. 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.
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(7)
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The range of prices for the transaction reported on this line was $19.16 to $19.76. The average weighted price was $19.43. 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.
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(8)
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The range of prices for the transaction reported on this line was $19.49 to $19.82. The average weighted price was $19.66. 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.
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(9)
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The range of prices for the transaction reported on this line was $19.39 to $19.82. The average weighted price was $19.65. 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.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ALDRICH RICHARD
C/O CONCERT PHARMACEUTICALS, INC.
99 HAYDEN AVENUE, SUITE 500
LEXINGTON, MA 02421
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X
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Signatures
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/s/ Nancy Stuart as attorney-in-fact of Richard Aldrich
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11/19/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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