Sec Form 4 Filing - Chiniara Ellen @ ALEXION PHARMACEUTICALS, INC. - 2020-12-16

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Chiniara Ellen
2. Issuer Name and Ticker or Trading Symbol
ALEXION PHARMACEUTICALS, INC. [ ALXN]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
EVP & Chief Legal Officer
(Last) (First) (Middle)
C/O ALEXION PHARMACEUTICALS, INC., 121 SEAPORT BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
12/16/2020
(Street)
BOSTON, MA02210
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $.0001 per share 12/16/2020 A 37,965 ( 1 ) A $ 0 62,917 D
Common Stock, par value $.0001 per share 12/16/2020 F 16,925 ( 2 ) D $ 157.96 45,992 D
Common Stock, par value $.0001 per share 12/16/2020 F 2,988 ( 3 ) D $ 157.96 43,004 D
Common Stock, par value $.0001 per share 12/15/2020 A V 56 ( 4 ) A $ 95.53 43,060 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Chiniara Ellen
C/O ALEXION PHARMACEUTICALS, INC.
121 SEAPORT BOULEVARD
BOSTON, MA02210
EVP & Chief Legal Officer
Signatures
/s/ Douglas Barry, Attorney-in-Fact for Ellen Chiniara 12/18/2020
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Shares acquired on vesting of Performance Stock Units previously granted on February 28, 2018 under the 2017 Stock Incentive Plan.
( 2 )This sale was made to cover withholding taxes immediately following the vesting of previously granted Performance Stock Units.
( 3 )This sale was made to cover withholding taxes immediately following the vesting of previously granted Restricted Stock Units.
( 4 )In accordance with the Alexion ESPP, these shares were purchased (for the ESPP purchase period from July 1, 2020 to December 15, 2020) based on 85% of the share price on July 1, 2020.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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