SEC Form 4 · accession 0001144204-15-027775
INTERCEPT PHARMACEUTICALS, INC. · ICPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Pruzanski
Officer — CEO & President · Director
Period of report
May 1, 2015
Accepted (ET)
May 5, 2015 · 9:00 pm EDT
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 | May 1, 2015 | M | 12,500 | $8.6667 | A | 508,243 | D | |
| Common StockF3 | May 1, 2015 | S | 1,700 | $251.3932 | D | 506,543 | D | |
| Common StockF4 | May 1, 2015 | S | 3,350 | $252.5309 | D | 503,193 | D | |
| Common StockF5 | May 1, 2015 | S | 4,338 | $253.5248 | D | 498,855 | D | |
| Common StockF6 | May 1, 2015 | S | 1,539 | $254.6334 | D | 497,316 | D | |
| Common StockF7 | May 1, 2015 | S | 661 | $255.4933 | D | 496,655 | D | |
| Common StockF8 | May 1, 2015 | S | 200 | $256.415 | D | 496,455 | D | |
| Common StockF9 | May 1, 2015 | S | 400 | $258.50 | D | 496,055 | D | |
| Common StockF10 | May 1, 2015 | S | 312 | $259.3342 | D | 495,743 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase Common StockF2 | $8.6667 | May 1, 2015 | M | 12,500 | D | — | Aug 16, 2020 | Common Stock | 12,500 | 134,128 | D |
Explanation of responses
- F1The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 27, 2015.
- F10This transaction was executed in multiple trades at prices ranging from $259.19 to $259.50. 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.
- F2All shares underlying this option have vested.
- F3This transaction was executed in multiple trades at prices ranging from $250.90 to $251.71. 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 $251.99 to $252.91. 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 $253.02 to $254.00. 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 $254.13 to $255.07. 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.
- F7This transaction was executed in multiple trades at prices ranging from $255.1325 to $256.11. 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.
- F8This transaction was executed in multiple trades at prices ranging from $256.26 to $256.57. 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.
- F9This transaction was executed in multiple trades at prices ranging from $258.00 to $259.00. 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.