0001209191-14-011634.txt : 20140219 0001209191-14-011634.hdr.sgml : 20140219 20140219130706 ACCESSION NUMBER: 0001209191-14-011634 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140219 FILED AS OF DATE: 20140219 DATE AS OF CHANGE: 20140219 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CONCERT PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001367920 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 BUSINESS ADDRESS: STREET 1: 99 HAYDEN AVENUE STREET 2: SUITE 500 CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 781-860-0045 MAIL ADDRESS: STREET 1: 99 HAYDEN AVENUE STREET 2: SUITE 500 CITY: LEXINGTON STATE: MA ZIP: 02421 FORMER COMPANY: FORMER CONFORMED NAME: CONCERT PHARMACEUTICALS INC DATE OF NAME CHANGE: 20060628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ALDRICH RICHARD CENTRAL INDEX KEY: 0001185039 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36310 FILM NUMBER: 14624889 MAIL ADDRESS: STREET 1: 1365 MAIN STREET CITY: WALTHAM STATE: MA ZIP: 02451 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-02-19 0 0001367920 CONCERT PHARMACEUTICALS, INC. CNCE 0001185039 ALDRICH RICHARD C/O CONCERT PHARMACEUTICALS, INC. 99 HAYDEN AVENUE, SUITE 500 LEXINGTON MA 02421 1 0 1 0 Common Stock 2014-02-19 4 C 0 53097 A 53097 I By RA Capital Associates, Inc. Common Stock 2014-02-19 4 C 0 8849 A 61946 I By RA Capital Associates, Inc. Common Stock 286963 D Common Stock 102417 I By Richard H. Aldrich 2011 GRAT Series A Convertible Preferred Stock 2014-02-19 4 C 0 300000 0.00 D Common Stock 53097 0 I By RA Capital Associates, Inc. Series B Convertible Preferred Stock 2014-02-19 4 C 0 50000 0.00 D Common Stock 8849 0 I By RA Capital Associates, Inc. The Series A and Series B 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. Shares held by RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of the RA Capital Associates, Inc. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Shares held by Richard H. Aldrich 2011 GRAT. Mr. Aldrich is the sole trustee of the Richard H. Aldrich 2011 GRAT. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Not applicable. /s/ Richard H. Aldrich 2014-02-19