SEC Form 4 · accession 0001144204-15-041253
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
Jul 1, 2015
Accepted (ET)
Jul 6, 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 | Jul 1, 2015 | M | 3,500 | $8.6667 | A | 22,014 | D | |
| Common StockF3 | Jul 1, 2015 | S | 1,000 | $237.6398 | D | 21,014 | D | |
| Common StockF4 | Jul 1, 2015 | S | 1,902 | $238.5076 | D | 19,112 | D | |
| Common StockF5 | Jul 1, 2015 | S | 398 | $239.3236 | D | 18,714 | D | |
| Common StockF6 | Jul 1, 2015 | S | 381 | $240.5892 | D | 18,333 | D | |
| Common Stock | Jul 1, 2015 | S | 100 | $241.81 | D | 18,233 | 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 | Jul 1, 2015 | M | 3,500 | D | — | Aug 16, 2020 | Common Stock | 3,500 | 22,794 | 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 $237.0100 to $238.00. 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.
- F4This transaction was executed in multiple trades at prices ranging from $238.0250 to $239.00. 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.
- F5This transaction was executed in multiple trades at prices ranging from $239.1350 to $239.6100. 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 $240.3300 to $241.00. 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.