SEC Form 4 · accession 0001144204-15-005703
INTERCEPT PHARMACEUTICALS, INC. · ICPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel Paul Regan
Officer — Chief Commercial Officer
Period of report
Jan 30, 2015
Accepted (ET)
Feb 3, 2015 · 9:01 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 | 9,847 | $37.69 | A | 11,111 | D | |
| Common StockF3 | Jan 30, 2015 | S | 6,847 | $200.067 | D | 4,264 | D | |
| Common StockF4 | Jan 30, 2015 | S | 1,207 | $201.5018 | D | 3,057 | D | |
| Common StockF5 | Jan 30, 2015 | S | 793 | $202.4936 | D | 2,264 | D | |
| Common StockF6 | Jan 30, 2015 | S | 800 | $205.8731 | D | 1,464 | D | |
| Common Stock | Jan 30, 2015 | S | 200 | $208.08 | D | 1,264 | 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 | $37.69 | Jan 30, 2015 | M | 9,847 | D | — | Mar 4, 2023 | Common Stock | 9,847 | 92,028 | D |
Explanation of responses
- F1The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on November 14, 2014.
- F2The remaining shares underlying this option vest on a pro rata monthly basis through March 4, 2017, subject to the terms and conditions of the award and the Intercept Pharmaceuticals, Inc. 2012 Equity Incentive Plan.
- F3This transaction was executed in multiple trades at prices ranging from $200.0000 to $200.8100. 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 $201.0100 to $202.0000. 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.
- F5This transaction was executed in multiple trades at prices ranging from $202.0100 to $203.0000. 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.
- F6This transaction was executed in multiple trades at prices ranging from $205.5000 to $206.2450. 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.