Statement of Changes in Beneficial Ownership (4)
June 04 2021 - 4:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
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RIGGS RORY B |
2. Issuer Name and Ticker or Trading Symbol
Intra-Cellular Therapies, Inc.
[
ITCI
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O INTRA-CELLULAR THERAPIES, INC., 430 EAST 29TH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/27/2021 |
(Street)
NEW YORK, NY 10016
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 5/27/2021 | | M | | 13767 | A | (1) | 75708 | D | |
Common Stock | | | | | | | | 226670 | I | Held by New Ventures I, LLC (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 5/27/2021 | | M | | | 13767 | (3) | (3) | Common Stock | 13767 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit represents a contingent right to receive one share of common stock. |
(2) | Mr. Riggs is Managing Member of New Ventures I, LLC and may be deemed to beneficially own the securities held by New Ventures I, LLC. Mr. Riggs disclaims beneficial ownership of the securities held by New Ventures I, LLC except to the extent of his pecuniary interest therein. |
(3) | On May 27, 2020, the reporting person was granted 13,767 restricted stock units, vesting on the first anniversary of the grant date (May 27, 2021). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
RIGGS RORY B C/O INTRA-CELLULAR THERAPIES, INC. 430 EAST 29TH STREET NEW YORK, NY 10016 | X |
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Signatures
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/s/ Lawrence J. Hineline, Attorney-in-fact | | 6/4/2021 |
**Signature of Reporting Person | Date |
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