SEC Form 4 · accession 0001209191-15-086876
Intra-Cellular Therapies, Inc. · ITCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Lerner
Director
Period of report
Dec 22, 2015
Accepted (ET)
Dec 23, 2015 · 6:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001567514
Table I — non-derivative securities
No Table I lines on this filing.
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 | Dec 22, 2015 | G | 10,000 | D | — | Dec 5, 2016 | Common Stock | 10,000 | 0 | D |
| Stock Option (right to buy)F3,F2 | $1.36 | Dec 22, 2015 | G | 10,000 | A | — | Dec 5, 2016 | Common Stock | 10,000 | 10,000 | I |
| Stock Option (right to buy)F2 | $1.50 | Dec 22, 2015 | G | 12,500 | D | — | Dec 12, 2017 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $1.50 | Dec 22, 2015 | G | 12,500 | A | — | Dec 12, 2017 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $1.50 | Dec 22, 2015 | G | 12,500 | D | — | Dec 18, 2018 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $1.50 | Dec 22, 2015 | G | 12,500 | A | — | Dec 18, 2018 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $2.74 | Dec 22, 2015 | G | 12,500 | D | — | Jun 10, 2020 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $2.74 | Dec 22, 2015 | G | 12,500 | A | — | Jun 10, 2020 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $2.74 | Dec 22, 2015 | G | 12,500 | D | — | Dec 21, 2020 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $2.74 | Dec 22, 2015 | G | 12,500 | A | — | Dec 21, 2020 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $2.84 | Dec 22, 2015 | G | 12,500 | D | — | Apr 30, 2022 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $2.84 | Dec 22, 2015 | G | 12,500 | A | — | Apr 30, 2022 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $3.26 | Dec 22, 2015 | G | 12,500 | D | — | Jun 20, 2023 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F3,F2 | $3.26 | Dec 22, 2015 | G | 12,500 | A | — | Jun 20, 2023 | Common Stock | 12,500 | 12,500 | I |
| Stock Option (right to buy)F2 | $3.26 | Dec 22, 2015 | G | 20,000 | D | — | Jun 20, 2023 | Common Stock | 20,000 | 0 | D |
| Stock Option (right to buy)F3,F2 | $3.26 | Dec 22, 2015 | G | 20,000 | A | — | Jun 20, 2023 | Common Stock | 20,000 | 20,000 | I |
| Stock Option (right to buy) | $16.86 | Dec 22, 2015 | G | 20,000 | D | Jun 30, 2015 | Jun 29, 2024 | Common Stock | 20,000 | 0 | D |
| Stock Option (right to buy)F3 | $16.86 | Dec 22, 2015 | G | 20,000 | A | Jun 30, 2015 | Jun 29, 2024 | Common Stock | 20,000 | 20,000 | I |
| Stock Option (right to buy) | $26.58 | Dec 22, 2015 | G | 20,000 | D | Jun 16, 2016 | Jun 15, 2025 | Common Stock | 20,000 | 0 | D |
| Stock Option (right to buy)F3 | $26.58 | Dec 22, 2015 | G | 20,000 | A | Jun 16, 2016 | Jun 15, 2025 | Common Stock | 20,000 | 20,000 | I |
Explanation of responses
- F1The reporting person transferred this option as a gift to the Lerner Family Trust UAD 11/14/94 (the "Lerner Family Trust"). Dr. Lerner shares voting and investment control with respect to the shares held by the Lerner Family Trust.
- F2All shares underlying this option have vested.
- F3Dr. Lerner may be deemed to beneficially own securities held by the Lerner Family Trust UAD 11/14/94 (the "Lerner Family Trust"). Dr. Lerner disclaims beneficial ownership of securities held by the Lerner Family Trust except to the extent of his pecuniary interest therein.