Filing Details
- Accession Number:
- 0001144204-14-041591
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-07-03 21:01:29
- Reporting Period:
- 2014-07-01
- Filing Date:
- 2014-07-03
- Accepted Time:
- 2014-07-03 21:01:29
- 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 |
|---|---|---|---|---|---|---|---|
| 1559569 | Mark Pruzanski | C/O Intercept Pharmaceuticals, Inc. 450 W. 15Th Street, Suite 505 New York NY 10011 | Ceo & President | Yes | 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 | 2014-07-01 | 4,868 | $0.00 | 475,042 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2014-07-01 | 10,000 | $8.67 | 485,042 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-07-01 | 10,000 | $250.61 | 475,042 | 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 | 2014-07-01 | 4,868 | $0.00 | 4,868 | $0.00 |
| Common Stock | Common Stock | Disposition | 2014-07-01 | 10,000 | $0.00 | 10,000 | $8.67 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 29,206 | No | 4 | M | Direct | ||
| 186,628 | 2020-07-20 | No | 4 | M | Direct |
Footnotes
- Conversion of restricted stock units ("RSUs") to shares of common stock on a one-to-one basis.
- On November 16, 2012, the reporting person was granted 77,884 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, 2014, 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, 2014 through January 1, 2016, subject to the terms and conditions of the award and the 2012 Plan.
- The reported transaction was made pursuant to a Rule 10b5-1 plan adopted by the reporting person on December 18, 2013.
- All shares underlying this option have vested.
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