SEC Form 4 · accession 0001144204-17-034719
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
Jun 26, 2017
Accepted (ET)
Jun 28, 2017 · 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 | Jun 26, 2017 | M | 40,000 | $8.6667 | A | 611,718 | D | |
| Common StockF3 | Jun 26, 2017 | S | 7,816 | $129.4909 | D | 603,902 | D | |
| Common StockF4 | Jun 26, 2017 | S | 18,763 | $130.4613 | D | 585,139 | D | |
| Common StockF5 | Jun 26, 2017 | S | 5,893 | $131.181 | D | 579,246 | D | |
| Common StockF6 | Jun 26, 2017 | S | 5,485 | $132.5425 | D | 573,761 | D | |
| Common StockF7 | Jun 26, 2017 | S | 2,043 | $133.0749 | D | 571,718 | 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 | Jun 26, 2017 | M | 40,000 | D | — | Aug 16, 2020 | Common Stock | 40,000 | 50,039 | D |
Explanation of responses
- F1The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 20, 2017.
- F2All shares underlying this option have vested.
- F3This transaction was executed in multiple trades at prices ranging from $128.89 to $129.83. 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 $129.92 to $130.92. 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 $130.925 to $131.89. 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 $131.93 to $132.91. 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.
- F7This transaction was executed in multiple trades at prices ranging from $132.945 to $133.36. 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.