SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
MARCUS JOEL S

(Last) (First) (Middle)
C/O ALEXANDRIA REAL EST EQUITIES, INC.
385 E. COLORADO BLVD. SUITE 299

(Street)
PASADENA CA 91101

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/09/2013
3. Issuer Name and Ticker or Trading Symbol
Intra-Cellular Therapies, Inc. [ NONE ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
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 15,742 I By the Joel S. Marcus and Barbara A. Marcus Family Trust
Common Stock 1,283,856 I See Footnote(1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: 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) (2) 04/24/2016 Common Stock 5,000 0.96 D
Stock Option (right to buy) (2) 12/05/2016 Common Stock 10,000 1.36 D
Stock Option (right to buy) (2) 12/12/2017 Common Stock 12,500 1.5 D
Stock Option (right to buy) (2) 12/18/2018 Common Stock 12,500 1.5 D
Stock Option (right to buy) (2) 06/10/2020 Common Stock 12,500 2.74 D
Stock Option (right to buy) (2) 12/21/2020 Common Stock 12,500 2.74 D
Stock Option (right to buy) (2) 04/30/2022 Common Stock 12,500 2.84 D
Stock Option (right to buy) (3) 05/30/2023 Common Stock 12,500 3.26 D
Stock Option (right to buy) (4) 05/30/2023 Common Stock 20,000 3.26 D
Explanation of Responses:
1. Consists of shares of common stock held by Alexandria Equities, LLC. Mr. Marcus is the Chairman, CEO and Founder of Alexandria Real Estate Equities, Inc., which is the managing member of Alexandria Equities, LLC, which has full voting and investment power with respect to the shares owned by Alexandria Equities, LLC. As an officer of Alexandria Real Estate Equities, Inc., Mr. Marcus may be deemed to have voting and investment power with respect to the shares owned by Alexandria Equities, LLC. Mr. Marcus disclaims beneficial ownership of the shares held by Alexandria Equities, LLC, except to the extent of his underlying pecuniary interest therein.
2. All shares underlying this option have vested and are exercisable.
3. The option vests and becomes exercisable as to 50% of the shares on July 1, 2013 and 50% of the shares on July 1, 2014.
4. The option vests and becomes exercisable as to 50% of the shares on July 1, 2014 and 50% of the shares on July 1, 2015.
/s/ Joel S. Marcus 09/18/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.