SEC Form 4 · accession 0001209191-15-070350
Intra-Cellular Therapies, Inc. · ITCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Allen A. Fienberg
Officer — VP of Business Development
Period of report
Aug 19, 2015
Accepted (ET)
Sep 11, 2015 · 4:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001567514
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Sep 9, 2015 | M | 12,500 | $1.36 | A | 295,000 | D | |
| Common StockF1 | Aug 19, 2015 | S | 10,000 | $30.30 | D | 198,023 | I | Held by J.D.F. Holdings Ltd. |
| Common StockF1 | Aug 21, 2015 | S | 200 | $30.30 | D | 197,823 | I | Held by J.D.F. Holdings Ltd. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $1.36 | Sep 9, 2015 | M | 12,500 | D | — | Dec 5, 2006 | Common Stock | 12,500 | 0 | D |
Explanation of responses
- F1Dr. Fienberg holds a 20% ownership interest in J.D.F. Holdings Ltd. and may be deemed to beneficially own the securities held by J.D.F. Holdings Ltd. Dr. Fienberg disclaims beneficial ownership of the securities held by J.D.F. Holdings Ltd. except to the extent of his pecuniary interest therein.
- F2All shares underlying this option have vested.