0001209191-21-069812.txt : 20211215 0001209191-21-069812.hdr.sgml : 20211215 20211215175430 ACCESSION NUMBER: 0001209191-21-069812 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211213 FILED AS OF DATE: 20211215 DATE AS OF CHANGE: 20211215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Tung Roger D CENTRAL INDEX KEY: 0001594857 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36310 FILM NUMBER: 211495263 MAIL ADDRESS: STREET 1: 99 HAYDEN AVENUE, SUITE 500 CITY: LEXINGTON STATE: MA ZIP: 02421 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CONCERT PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001367920 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 65 HAYDEN AVENUE STREET 2: SUITE 3000N CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 781-860-0045 MAIL ADDRESS: STREET 1: 65 HAYDEN AVENUE STREET 2: SUITE 3000N CITY: LEXINGTON STATE: MA ZIP: 02421 FORMER COMPANY: FORMER CONFORMED NAME: CONCERT PHARMACEUTICALS INC DATE OF NAME CHANGE: 20060628 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-12-13 0 0001367920 CONCERT PHARMACEUTICALS, INC. CNCE 0001594857 Tung Roger D C/O CONCERT PHARMACEUTICALS, INC. 65 HAYDEN AVENUE, SUITE 3000N LEXINGTON MA 02421 1 1 0 0 Chief Executive Officer Common Stock 2021-12-13 4 M 0 6700 3.50 A 815278 D Common Stock 2021-12-13 4 S 0 6700 3.62 D 808578 D Common Stock 121873 I By Roger D. Tung 2011 GRAT Common Stock 13274 I By Tung Family Investment Trust Common Stock 12389 I By RD Tung Irrevocable Trust Stock Option (right to buy) 3.50 2021-12-13 4 M 0 6700 0.00 D 2021-12-15 Common Stock 6700 4522 D This sale was effected pursuant to a Rule 10b5-1 trading plan. 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. 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. 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. 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. This option is fully vested. /s/ Jeffrey A. Munsie, attorney-in-fact 2021-12-15