0001209191-14-012941.txt : 20140221
0001209191-14-012941.hdr.sgml : 20140221
20140221140236
ACCESSION NUMBER: 0001209191-14-012941
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140219
FILED AS OF DATE: 20140221
DATE AS OF CHANGE: 20140221
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: 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: QVT Fund V LP
CENTRAL INDEX KEY: 0001543904
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36310
FILM NUMBER: 14632898
BUSINESS ADDRESS:
STREET 1: 87 MARY STREET
STREET 2: GEORGE TOWN
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-9005
BUSINESS PHONE: 2127056229
MAIL ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: QVT Associates GP LLC
CENTRAL INDEX KEY: 0001290166
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36310
FILM NUMBER: 14632899
BUSINESS ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-705-8800
MAIL ADDRESS:
STREET 1: 1177 AVENUE OF THE AMERICAS
STREET 2: 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10036
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-02-19
1
0001367920
CONCERT PHARMACEUTICALS, INC.
CNCE
0001290166
QVT Associates GP LLC
1177 AVENUE OF THE AMERICAS, 9TH FLOOR
NEW YORK
NY
10036
0
0
1
0
0001543904
QVT Fund V LP
1177 AVENUE OF THE AMERICAS, 9TH FLOOR
NEW YORK
NY
10036
0
0
1
0
Common Stock, $0.001 par value
2014-02-19
4
C
0
259999
A
259999
I
Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P.
Common Stock, $0.001 par value
2014-02-19
4
P
0
300000
14.00
A
559999
I
Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P.
Series A Convertible Preferred Stock
2014-02-19
4
C
0
250000
0.00
D
Common Stock
44247
0
I
Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P.
Series B Convertible Preferred Stock
2014-02-19
4
C
0
1000000
0.00
D
Common Stock
176991
0
I
Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P.
Series C Convertible Preferred Stock
2014-02-19
4
C
0
219000
0.00
D
Common Stock
38761
0
I
Through QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P.
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.
QVT Associates GP LLC is the general partner of QVT Fund IV LP, QVT Fund V LP and Quintessence Fund L.P. (together with QVT Fund IV LP, and QVT Fund V LP, the "Funds"). QVT Financial LP is the investment manager for the Funds and therefore may be deemed the beneficial owner of the Common Stock held by the Funds. QVT Financial GP LLC is the general partner of QVT Financial LP and therefore may be deemed the beneficial owner of Common Stock beneficially owned by QVT Financial LP. The reporting person disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.
Not applicable.
These 300,000 shares were purchased by the Funds in the Issuer's initial public offering, at which time the reporting persons were no longer 10% owners or otherwise subject to Section 16.
/s/ Tracy Fu, Managing Member
2014-02-21