SEC Form 4 · accession 0001144204-15-072112
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
Dec 18, 2015
Accepted (ET)
Dec 22, 2015 · 10:00 am 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 | Dec 18, 2015 | M | 3,736 | $8.6667 | A | 32,131 | D | |
| Common Stock | Dec 18, 2015 | M | 7,471 | $21.50 | A | 39,602 | D | |
| Common Stock | Dec 18, 2015 | M | 219 | $31.90 | A | 39,821 | 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 StockF1 | $8.6667 | Dec 18, 2015 | M | 3,736 | D | — | Oct 13, 2021 | Common Stock | 3,736 | 2,235 | D |
| Option to Purchase Common StockF2 | $21.50 | Dec 18, 2015 | M | 7,471 | D | — | Nov 16, 2022 | Common Stock | 7,471 | 9,836 | D |
| Option to Purchase Common StockF3 | $31.90 | Dec 18, 2015 | M | 219 | D | — | May 7, 2023 | Common Stock | 219 | 22,281 | D |
Explanation of responses
- F1All shares underlying this option have vested.
- F2The remainder of the shares originally underlying this option vest on a pro rata monthly basis through January 1, 2016, subject to the terms and conditions the award and the Intercept Pharmaceuticals, Inc. 2012 Equity Incentive Plan.
- F3The remainder of the shares originally underlying this option vest on a pro rata monthly basis through January 1, 2017, subject to the terms and conditions the award and the Intercept Pharmaceuticals, Inc. 2012 Equity Incentive Plan.