SEC Form 4 · accession 0001144204-18-060579
INTERCEPT PHARMACEUTICALS, INC. · ICPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Pruzanski
Officer — President & CEO · Director
Period of report
Nov 15, 2018
Accepted (ET)
Nov 16, 2018 · 7:00 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 | Nov 15, 2018 | M | 22,394 | $8.6667 | A | 589,199 | D | |
| Common StockF2 | Nov 15, 2018 | S | 18,873 | $100.3813 | D | 570,326 | D | |
| Common StockF3 | Nov 15, 2018 | S | 3,521 | $101.1327 | D | 566,805 | D | |
| Common Stock | Nov 16, 2018 | M | 27,606 | $8.6667 | A | 594,411 | D | |
| Common StockF2 | Nov 16, 2018 | S | 9,830 | $100.38 | D | 584,581 | D | |
| Common StockF4 | Nov 16, 2018 | S | 7,949 | $101.4828 | D | 576,632 | D | |
| Common StockF5 | Nov 16, 2018 | S | 7,839 | $102.6118 | D | 568,793 | D | |
| Common StockF6 | Nov 16, 2018 | S | 1,988 | $103.286 | D | 566,805 | 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 StockF7 | $8.6667 | Nov 15, 2018 | M | 22,394 | D | — | Aug 16, 2020 | Common Stock | 22,394 | 27,645 | D |
| Option to Purchase Common StockF7 | $8.6667 | Nov 16, 2018 | M | 27,606 | D | — | Aug 16, 2020 | Common Stock | 27,606 | 39 | D |
Explanation of responses
- F1This transaction was effected pursuant to a pre-existing Rule 10b5-1 trading plan adopted by the reporting person for financial and tax planning purposes.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.99, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2), (3), (4), (5) and (6) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.00 to $101.285, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.00 to $101.955, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.025 to $103.02, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $103.025 to $103.57, inclusive.
- F7This option is fully vested and exercisable.