SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Bazarko Daniel

(Last) (First) (Middle)
C/O ALEXION PHARMACEUTICALS, INC.
121 SEAPORT BOULEVARD

(Street)
BOSTON MA 02210

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
02/19/2019
3. Issuer Name and Ticker or Trading Symbol
ALEXION PHARMACEUTICALS, INC. [ ALXN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
SVP, Controller, CAO
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value $.0001 per share 243(1) D
Common Stock, par value $.0001 per share 1,350(2) D
Common Stock, par value $.0001 per share 219(3) D
Common Stock, par value $.0001 per share 4,762(4) D
Common Stock, par value $.0001 per share 2,294(5) D
Common Stock, par value $.0001 per share 2,025(6) D
Common Stock, par value $.0001 per share 5,020 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Option to Purchase Common Stock (7) 02/27/2025 Common Stock, par value $.0001 per share 3,943 180.37 D
Option to Purchase Common Stock (8) 12/01/2025 Common Stock, par value $.0001 per share 2,912 180.28 D
Option to Purchase Common Stock (9) 06/01/2023 Common Stock, par value $.0001 per share 13,066 97.58 D
Option to Purchase Common Stock (10) 02/28/2024 Common Stock, par value $.0001 per share 5,111 176.8 D
Option to Purchase Common Stock (11) 02/28/2027 Common Stock, par value $.0001 per share 5,300 131.25 D
Option to Purchase Common Stock (12) 02/28/2026 Common Stock, par value $.0001 per share 11,000 140.16 D
Explanation of Responses:
1. Award of Restricted Stock Unites under the 2004 Incentive Plan. 25% of the shares vest on each anniversary of the grant date. The grant date of this award was December 1, 2015. The number of shares reported are the remaining unvested shares.
2. Award of Restricted Stock Unites under the 2004 Incentive Plan. 25% of the shares vest on each anniversary of the grant date. The grant date of this award was February 26, 2016. The number of shares reported are the remaining unvested shares.
3. Award of Restricted Stock Unites under the 2004 Incentive Plan. 25% of the shares vest on each anniversary of the grant date. The grant date of this award was February 27, 2015. The number of shares reported are the remaining unvested shares.
4. Award of Restricted Stock Unites under the 2017 Incentive Plan. 25% of the shares vest on each anniversary of the grant date. The grant date of this award was February 28, 2018. The number of shares reported are the remaining unvested shares.
5. Award of Restricted Stock Unites under the 2017 Incentive Plan. 50% of the shares vest on each of the first two anniversaries of the grant date. The grant date of this award was December 1, 2017. The number of shares reported are the remaining unvested shares.
6. Award of Restricted Stock Unites under the 2004 Incentive Plan. 25% of the shares vest on each anniversary of the grant date. The grant date of this award was February 28, 2017. The number of shares reported are the remaining unvested shares.
7. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was February 27, 2015.
8. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was December 1, 2015.
9. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was June 1, 2013.
10. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was February 28, 2014.
11. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was February 28, 2017
12. Award of stock options under the 2004 Incentive Plan. 25% vest on the one year anniversary of the date of the grant and 1/16th every 90 days thereafter. The grant date for this award was February 26, 2016.
Remarks:
/s/ Douglas Barry, Attorney-in-Fact for Daniel Bazarko 02/19/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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