SEC Form 4 · accession 0001144204-15-055546
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
Sep 15, 2015
Accepted (ET)
Sep 17, 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 | Sep 15, 2015 | M | 3,500 | $8.6667 | A | 21,733 | D | |
| Common Stock | Sep 15, 2015 | M | 5,294 | $8.6667 | A | 27,027 | D | |
| Common StockF3 | Sep 15, 2015 | S | 1,000 | $189.1611 | D | 26,027 | D | |
| Common StockF4 | Sep 15, 2015 | S | 1,000 | $191.0442 | D | 25,027 | D | |
| Common Stock | Sep 15, 2015 | S | 1,500 | $192.85 | D | 23,527 | 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 | Sep 15, 2015 | M | 3,500 | D | — | Aug 16, 2020 | Common Stock | 3,500 | 15,794 | D |
| Option to Purchase Common StockF2 | $8.6667 | Sep 15, 2015 | M | 5,294 | D | — | Aug 16, 2020 | Common Stock | 5,294 | 10,500 | 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 $189.05 to $189.20. 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 $191.00 to $191.11. 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.