Statement of Changes in Beneficial Ownership (4)
16 Julho 2021 - 5:56PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
HANTSON LUDWIG |
2. Issuer Name and Ticker or Trading Symbol
ALEXION PHARMACEUTICALS, INC.
[
ALXN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO |
(Last)
(First)
(Middle)
C/O ALEXION PHARMACEUTICALS, INC., 121 SEAPORT BLVD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
7/14/2021 |
(Street)
BOSTON, MA 02210
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, par value $.0001 per share | 7/14/2021 | | A | | 120894 (1) | A | $0 | 470060 | D | |
Common Stock, par value $.0001 per share | 7/14/2021 | | A | | 119847 (2) | A | $0 | 589907 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On July 14, 2021 the Leadership and Compensation Committee certified that certain performance metrics under previously granted performance stock units were satisfied. These performance stock units were previously granted in February 2019 under the 2017 Stock Incentive Plan. |
(2) | On July 14, 2021 the Leadership and Compensation Committee certified that certain performance metrics under previously granted performance stock units were satisfied. These performance stock units were previously granted in February 2020 under the 2017 Stock Incentive Plan. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HANTSON LUDWIG C/O ALEXION PHARMACEUTICALS, INC. 121 SEAPORT BLVD BOSTON, MA 02210 | X |
| CEO |
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Signatures
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/s/ Douglas Barry, Attorney-in-Fact for Ludwig Hantson | | 7/16/2021 |
**Signature of Reporting Person | Date |
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