SEC Form 4 · accession 0000914475-15-000035
NEUROCRINE BIOSCIENCES INC · NBIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
W Thomas Mitchell
Director
Period of report
Jan 13, 2015
Accepted (ET)
Jan 15, 2015 · 1:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000914475
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 13, 2015 | M | 15,000 | $3.07 | A | 16,000 | D | |
| Common Stock | Jan 13, 2015 | M | 15,000 | $3.40 | A | 31,000 | D | |
| Common Stock | Jan 13, 2015 | M | 15,000 | $7.05 | A | 46,000 | D | |
| Common StockF2 | Jan 13, 2015 | S | 45,000 | $30.07 | D | 1,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Nonqualified Stock OptionF3 | $3.07 | Jan 13, 2015 | M | 15,000 | D | — | May 29, 2016 | Common Stock | 15,000 | 0 | D |
| Nonqualified Stock OptionF4 | $3.40 | Jan 13, 2015 | M | 15,000 | D | — | May 25, 2017 | Common Stock | 15,000 | 0 | D |
| Nonqualified Stock OptionF5 | $7.05 | Jan 13, 2015 | M | 15,000 | D | — | May 25, 2018 | Common Stock | 15,000 | 0 | D |
Explanation of responses
- F1The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 90 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending, canceling, suspending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
- F2Represents a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.48 to $30.77. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.
- F3The option was granted May 29, 2009 and vested in 12 equal monthly installments beginning June 29, 2009.
- F4The option was granted May 25, 2010 and vested in 12 equal monthly installments beginning June 25, 2010.
- F5The option was granted May 25, 2011 and vested in 12 equal monthly installments beginning June 25, 2011.