Roger D. Tung - Dec 13, 2021 Form 4 Insider Report for CONCERT PHARMACEUTICALS, INC. (CNCE)

Role
Chief Executive Officer, Director
Signature
/s/ Jeffrey A. Munsie, attorney-in-fact
Stock symbol
CNCE
Transactions as of
Dec 13, 2021
Transactions value $
-$804
Form type
4
Date filed
12/15/2021, 04:54 PM
Next filing
Jan 7, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CNCE Common Stock Options Exercise $23.5K +6.7K +0.83% $3.50 815K Dec 13, 2021 Direct
transaction CNCE Common Stock Sale -$24.3K -6.7K -0.82% $3.62 809K Dec 13, 2021 Direct F1, F2
holding CNCE Common Stock 122K Dec 13, 2021 By Roger D. Tung 2011 GRAT F3
holding CNCE Common Stock 13.3K Dec 13, 2021 By Tung Family Investment Trust F4
holding CNCE Common Stock 12.4K Dec 13, 2021 By RD Tung Irrevocable Trust F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CNCE Stock Option (right to buy) Options Exercise $0 -6.7K -59.7% $0.00 4.52K Dec 13, 2021 Common Stock 6.7K $3.50 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 This sale was effected pursuant to a Rule 10b5-1 trading plan.
F2 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $3.60 to $3.67, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.
F3 Shares held by the Roger D. Tung 2011 GRAT. Dr. Tung is the sole trustee of the Roger D. Tung 2011 GRAT. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F4 Shares held by the Tung Family Investment Trust. Dr. Tung is a co-trustee of the Tung Family Investment Trust. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F5 Shares held by the RD Tung Irrevocable Trust. Dr. Tung's spouse is a co-trustee of the RD Tung Irrevocable Trust. Dr. Tung disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F6 This option is fully vested.