Filing Details

Accession Number:
0001209191-14-012993
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-21 15:18:00
Reporting Period:
2014-02-19
Filing Date:
2014-02-21
Accepted Time:
2014-02-21 15:18:00
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
1113520 Three Arch Associates Iii Lp 3200 Alpine Road
Portola Valley CA 94028
No No Yes No
1190472 A Mark Wan C/O Three Arch Partners
3200 Alpine Road
Portola Valley CA 94028
No No Yes No
1190474 E Wilfred Jaeger C/O Three Arch Partners
3200 Alpine Road
Portola Valley CA 94028
Yes No Yes No
1256738 Three Arch Management Iii Llc 3200 Alpine Road
Portola Valley CA 94028
Yes No Yes No
1256741 Three Arch Partners Iii Lp 3200 Alpine Road
Portola Valley CA 94028
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 2014-02-19 13,545 $0.00 14,854 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 18,060 $0.00 32,914 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 3,612 $0.00 36,526 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 251,941 $0.00 276,295 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 335,922 $0.00 612,217 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 67,184 $0.00 679,401 No 4 C Indirect See footnote
Common Stock Acquisiton 2014-02-19 5,281 $14.00 41,807 No 4 P Indirect See footnote
Common Stock Acquisiton 2014-02-19 98,219 $14.00 777,620 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 C Indirect See footnote
No 4 C Indirect See footnote
No 4 C Indirect See footnote
No 4 P 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 2014-02-19 76,531 $0.00 13,545 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2014-02-19 102,041 $0.00 18,060 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-02-19 20,408 $0.00 3,612 $0.00
Common Stock Series A Convertible Preferred Stock Disposition 2014-02-19 1,423,469 $0.00 251,941 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2014-02-19 1,897,959 $0.00 335,922 $0.00
Common Stock Series C Convertible Preferred Stock Disposition 2014-02-19 379,592 $0.00 67,184 $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
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. 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.
  2. These shares are owned directly by Three Arch Associates III, L.P. ("TAA III"). Three Arch Management III, L.L.C. ("TAM III") is the general partner of TAA III, and Wilfred Jaeger and Mark Wan, the Managing Members of TAM III, may be deemed to share voting and dispositive power over the shares held by TAA III. Such persons and entities disclaim beneficial ownership of the shares held by TAA III except to the extent of any pecuniary interest therein.
  3. These shares are owned directly by Three Arch Partners III, L.P. ("TAP III"). Three Arch Management III, L.L.C. ("TAM III") is the general partner of TAP III, and Wilfred Jaeger and Mark Wan, the Managing Members of TAM III, may be deemed to share voting and dispositive power over the shares held by TAP III. Such persons and entities disclaim beneficial ownership of the shares held by TAP III except to the extent of any pecuniary interest therein.
  4. Not applicable.