SEC Form 4 · accession 0001209191-17-002284
Intra-Cellular Therapies, Inc. · ITCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Halstead
Officer — SVP and General Counsel
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 5:54 pm EST
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 StockF1 | Jan 4, 2017 | M | 3,107 | — | A | 23,107 | D |
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 | $15.73 | Jan 3, 2017 | A | 63,717 | A | — | Jan 3, 2027 | Common Stock | 63,717 | 63,717 | D |
| Restricted Stock UnitsF3,F4 | — | Jan 3, 2017 | A | 15,893 | A | — | — | Common Stock | 15,893 | 15,893 | D |
| Restricted Stock UnitsF3,F5 | — | Jan 4, 2017 | M | 3,107 | D | — | — | Common Stock | 3,107 | 6,216 | D |
Explanation of responses
- F1Restricted stock units convert into common stock on a one-for-one basis.
- F2On January 3, 2017, the reporting person was granted options to purchase 63,717 shares of common stock, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F3Each restricted stock unit represents a contingent right to receive one share of common stock.
- F4On January 3, 2017, the reporting person was granted 15,893 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.
- F5On January 4, 2016, the reporting person was granted 9,323 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.