SEC Form 4 · accession 0001209191-18-057771
NEUROCRINE BIOSCIENCES INC · NBIX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Malcolm Lloyd-Smith
Officer — Chief Regulatory Officer
Period of report
Nov 6, 2018
Accepted (ET)
Nov 8, 2018 · 5:03 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 | Nov 6, 2018 | M | 5,700 | $15.45 | A | 21,018 | D | |
| Common Stock | Nov 6, 2018 | S | 5,700 | $110.0168 | D | 15,318 | D | |
| Common Stock | Nov 7, 2018 | M | 3,300 | $15.45 | A | 18,618 | D | |
| Common Stock | Nov 7, 2018 | S | 3,300 | $110.00 | D | 15,318 | 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 OptionF2 | $15.45 | Nov 6, 2018 | M | 5,700 | A | — | Oct 1, 2024 | Common Stock | 5,700 | 13,256 | D |
| Non-Qualified Stock OptionF2 | $15.45 | Nov 7, 2018 | M | 3,300 | A | — | Oct 1, 2024 | Common Stock | 3,300 | 9,956 | 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 2 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
- F2Option granted October 1, 2014 and vested 25% upon first anniversary (October 1, 2015) and remaining 75% vested in 36 equal monthly installments beginning November 1, 2015.