Initial Statement of Beneficial Ownership (3)
October 28 2020 - 4:04PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Durgam Suresh K. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/28/2020
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3. Issuer Name and Ticker or Trading Symbol
Intra-Cellular Therapies, Inc. [ITCI]
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(Last)
(First)
(Middle)
C/O INTRA-CELLULAR THERAPIES, INC., 430 EAST 29TH STREET |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Medical Officer / |
(Street)
NEW YORK, NY 10016
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8759 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | (1) | 8/15/2028 | Common Stock | 62282 | $0.00 | D | |
Stock Option (right to buy) | (2) | 1/8/2029 | Common Stock | 53967 | $0.00 | D | |
Stock Option (right to buy) | (3) | 2/18/2030 | Common Stock | 33443 | $0.00 | D | |
Restricted Stock Units | (4) | (4) | Common Stock | 26185 | $0.00 | D | |
Restricted Stock Units | (5) | (5) | Common Stock | 25062 | $0.00 | D | |
Explanation of Responses: |
(1) | On August 15, 2018, the reporting person was granted options to purchase 62,282 shares of common stock, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
(2) | On January 8, 2019, the reporting person was granted options to purchase 53,967 shares of common stock, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
(3) | On February 18, 2020, the reporting person was granted options to purchase 33,443 shares of common stock, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
(4) | On January 8, 2019, the reporting person was granted 39,277 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
(5) | On February 18, 2020, the reporting person was granted 25,062 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date. |
Remarks: Exhibit 24.1 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Durgam Suresh K. C/O INTRA-CELLULAR THERAPIES, INC. 430 EAST 29TH STREET NEW YORK, NY 10016 |
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| Chief Medical Officer |
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Signatures
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/s/ Lawrence J. Hineline, Attorney-in-fact | | 10/28/2020 |
**Signature of Reporting Person | Date |
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