0001144204-14-022267.txt : 20140411 0001144204-14-022267.hdr.sgml : 20140411 20140411210138 ACCESSION NUMBER: 0001144204-14-022267 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140409 FILED AS OF DATE: 20140411 DATE AS OF CHANGE: 20140411 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: INTERCEPT PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001270073 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 223868459 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 450 W. 15TH STREET STREET 2: SUITE 505 CITY: NEW YORK STATE: NY ZIP: 10011 BUSINESS PHONE: 646-747-1000 MAIL ADDRESS: STREET 1: 450 W. 15TH STREET STREET 2: SUITE 505 CITY: New York STATE: NY ZIP: 10011 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TALLARIGO LORENZO CENTRAL INDEX KEY: 0001276039 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35668 FILM NUMBER: 14761246 MAIL ADDRESS: STREET 1: 18 DESBROSSES STREET CITY: NEW YORK STATE: NY ZIP: 10013 4 1 v374633_4.xml OWNERSHIP DOCUMENT X0306 4 2014-04-09 0 0001270073 INTERCEPT PHARMACEUTICALS INC ICPT 0001276039 TALLARIGO LORENZO C/O INTERCEPT PHARMACEUTICALS, INC. 450 W. 15TH STREET, SUITE 505 NEW YORK NY 10011 1 0 1 0 Common Stock 2014-04-09 4 S 0 318695 320.00 D 5620195 I See Footnote Common Stock 2014-04-10 4 X 0 865381 10.40 A 6485576 I See Footnote Common Stock 2014-04-10 4 S 0 30623 293.91 D 6454953 I See Footnote Common Stock 1640 D Warrants to Purchase Common Stock 10.40 2014-04-10 4 X 0 865381 0 D 2015-01-20 Common Stock 865381 0 I See Footnote Held by Genextra S.p.A. Dr. Tallarigo is the chief executive officer of Genextra S.p.A. and, in such capacity, Dr. Tallarigo exercises voting control over the shares of common stock owned by Genextra S.p.A. and investment control over such shares as authorized by the board of directors of Genextra S.p.A. Dr. Tallarigo disclaims beneficial ownership with respect to any such shares, except to the extent of his pecuniary interest therein, if any. Represents shares of common stock sold by Genextra S.p.A. in a public offering on April 9, 2014 pursuant to a registration statement on Form S-3 (File No. 333-194974). Warrants to purchase an aggregate of 865,381 shares of common stock were exercised on a cashless basis by Genextra S.p.A. on April 10, 2014, resulting in the issuance by the Issuer of an aggregate of 834,758 shares of common stock based on a fair market value of $293.91 per share, as determined by the average of the high ($301.80) and low ($286.01) trading price on April 9, 2014, the trading day immediately preceding the date of exercise. Warrants were fully exercisable as of the date of exercise. /s/ Bryan Yoon, as attorney-in-fact 2014-04-11