SEC Form 4 · accession 0001144204-16-138636
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
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 9:00 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 | Dec 6, 2016 | M | 1,082 | $21.50 | A | 553,102 | D | |
| Common Stock | Dec 6, 2016 | M | 2,405 | $31.90 | A | 555,507 | 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 StockF1 | $21.50 | Dec 6, 2016 | M | 1,082 | D | — | Nov 16, 2022 | Common Stock | 1,082 | 0 | D |
| Options to Purchase Common StockF2 | $31.90 | Dec 6, 2016 | M | 2,405 | D | — | May 7, 2023 | Common Stock | 2,405 | 1,354 | 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, 2017, subject to the terms and conditions the award and the Intercept Pharmaceuticals, Inc. 2012 Equity Incentive Plan.