SEC Form 4 · accession 0001144204-15-005702
INTERCEPT PHARMACEUTICALS, INC. · ICPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Shapiro
Officer — CMO and EVP - Development
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 9:00 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001270073
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 30, 2015 | M | 4,000 | $8.6667 | A | 18,648 | D | |
| Common Stock | Jan 30, 2015 | M | 3,500 | $10.4001 | A | 22,148 | D | |
| Common StockF3 | Jan 30, 2015 | S | 3,100 | $204.1965 | D | 19,048 | D | |
| Common StockF4 | Jan 30, 2015 | S | 1,068 | $206.031 | D | 17,980 | D | |
| Common StockF5 | Jan 30, 2015 | S | 2,379 | $207.0053 | D | 15,601 | D | |
| Common StockF6 | Jan 30, 2015 | S | 953 | $208.0972 | D | 14,648 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF2 | $8.6667 | Jan 30, 2015 | M | 4,000 | D | — | Oct 13, 2021 | Common Stock | 4,000 | 10,971 | D |
| Option to Purchase Common StockF2 | $10.4001 | Jan 30, 2015 | M | 3,500 | D | — | Apr 1, 2018 | Common Stock | 3,500 | 7,203 | D |
Explanation of responses
- F1The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on November 25, 2014.
- F2All shares underlying this option have vested.
- F3This transaction was executed in multiple trades at prices ranging from $204.1500 to $205.0000. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4This transaction was executed in multiple trades at prices ranging from $205.5200 to $206.4800. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F5This transaction was executed in multiple trades at prices ranging from $206.5400 to $207.5150. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F6This transaction was executed in multiple trades at prices ranging from $207.8900 to $208.2250. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.