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 |
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1. Name and Address of Reporting Person*
(Street)
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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 ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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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 | 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) | |||||||
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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. |