SEC Form 4 · accession 0001209191-17-048144
NEUROCRINE BIOSCIENCES INC · NBIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Haig P. Bozigian
Officer — Chief Development Officer
Period of report
Aug 4, 2017
Accepted (ET)
Aug 8, 2017 · 5:44 pm EDT
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 | Aug 4, 2017 | M | 25,000 | $5.76 | A | 154,601 | D | |
| Common Stock | Aug 4, 2017 | S | 2,500 | $50.00 | D | 129,601 | D | |
| Common Stock | Aug 4, 2017 | M | 20,000 | $8.66 | A | 149,601 | D | |
| Common StockF2 | Aug 4, 2017 | S | 20,000 | $50.00 | D | 129,601 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non Qualified Stock OptionF3 | $5.76 | Aug 4, 2017 | M | 19,929 | D | — | Aug 25, 2021 | Common Stock | 19,929 | 105,071 | D |
| Incentive Stock OptionF3 | $5.76 | Aug 4, 2017 | M | 5,071 | D | — | Aug 25, 2021 | Common Stock | 5,071 | 100,000 | D |
| Non Qualified Stock OptionF4 | $8.66 | Aug 4, 2017 | M | 17,274 | D | — | Jan 12, 2022 | Common Stock | 17,274 | 82,726 | D |
| Incentive Stock OptionF4 | $8.66 | Aug 4, 2017 | M | 2,726 | D | — | Jan 12, 2022 | Common Stock | 2,726 | 80,000 | 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 sales price per share. These shares were sold in multiple transactions at prices ranging from $50.00 to $50.10. 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 August 25, 2011 and vested in 36 equal monthly installments beginning September 25, 2011.
- F4Option granted January 12, 2012 and vested in 36 equal monthly installments.