Filing Details

Accession Number:
0001144204-13-038281
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-07-03 21:34:03
Reporting Period:
2013-07-01
Filing Date:
2013-07-03
Accepted Time:
2013-07-03 21:34:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1270073 Intercept Pharmaceuticals Inc ICPT Pharmaceutical Preparations (2834) 223868459
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1559570 David Shapiro C/O Intercept Pharmaceuticals, Inc.
18 Desbrosses St.
New York NY 10013
Cmo & Evp - Development No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-07-01 1,623 $0.00 4,155 No 4 M Direct
Common Stock Acquisiton 2013-07-02 3,750 $10.40 7,905 No 4 M Direct
Common Stock Disposition 2013-07-02 4,369 $43.63 3,536 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Restricted Stock Units Disposition 2013-07-01 1,623 $0.00 1,623 $0.00
Common Stock Options to Purchase Common Stock Disposition 2013-07-02 3,750 $0.00 3,750 $10.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
16,225 No 4 M Direct
71,538 2018-04-01 No 4 M Direct
Footnotes
  1. The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on March 20, 2013.
  2. All shares underlying this option have vested.
  3. Conversion of restricted stock units ("RSUs") to shares of common stock on a one-for-one basis.
  4. On November 16, 2012, the reporting person was granted 25,961 RSUs. The RSUs reported as having been disposed and the corresponding shares reported as having been acquired, representing 6.25% of the shares underlying the RSUs, became vested on July 1, 2013, subject to the terms and conditions of the award and the Intercept Pharmaceuticals, Inc. 2012 Equity Incentive Plan (the "2012 Plan"). The remainder of the shares underlying the RSUs will vest pro rata on a quarterly basis from October 1, 2013 through January 1, 2016, subject to the terms and conditions of the award and the 2012 Plan.
  5. This transaction was executed in multiple trades at prices ranging from $43.30 to $44.03. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.