Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-009115
Date:2021-02-05
Issuer: NEUROCRINE BIOSCIENCES INC (NBIX)
Original Submission Date:

Reporting Person:

LIPPOLDT DARIN
12780 EL CAMINO REAL
SAN DIEGO, CA 92130

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-02-05 S 605 d $114.05 30,627 direct
COMMON STOCK 2021-02-08 S 687 d $116.69 31,914 direct
COMMON STOCK 2021-02-08 S 1,198 d $116.74 32,991 direct
COMMON STOCK 2021-02-08 S 1,522 d $116.72 34,361 direct
COMMON STOCK 2021-02-09 M 30,000 a $35.99 64,361 direct
COMMON STOCK 2021-02-09 S 30,000 d $116.16 34,361 direct
COMMON STOCK 2021-02-09 M 186 a $35.99 34,547 direct
COMMON STOCK 2021-02-09 S 186 d $117.55 34,361 direct
COMMON STOCK 2021-02-09 M 6,008 a $35.99 40,369 direct
COMMON STOCK 2021-02-09 S 6,008 d $116.21 34,361 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION 117.63 2021-02-08 deemed execution date A 41,444 (a) 2031-02-08 common stock 41,444 $117.63 41,444 direct
RESTRICTED STOCK UNIT 0.0 2021-02-08 deemed execution date A 6,908 (a) common stock 6,908 $0.00 6,908 direct
NON-QUALIFIED STOCK OPTION 35.99 2021-02-09 deemed execution date M 36,194 (d) 2026-02-05 common stock 36,194 $35.99 0 direct
Footnotes
IDfootnote
f1 sale of 605 shares of common stock issued upon vesting of 1,150 restricted stock units on february 5, 2021 to cover payroll and withholding taxes, with the balance of the shares (545) maintained by the reporting person; the disposition reported in this form 4 was effected by a broker pursuant to instructions set forth in a rule 10b5-1 trading plan adopted by the reporting person at least 60 days prior to the transaction date in box 3 above. additionally, issuer policy restricts the reporting person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
f2 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $111.75 to $116.49. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f3 sale of 687 shares of common stock issued upon vesting of 1,974 restricted stock units on february 8, 2021 to cover payroll and withholding taxes, with the balance of the shares (1,287) maintained by the reporting person. the disposition reported in this form 4 was effected by a broker pursuant to instructions consistent with rule 10b5-1 at least 60 days prior to the transaction date in box 3 above.
f4 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $115.90 to $117.20. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f5 sale of 1,198 shares of common stock issued upon vesting of 2,275 restricted stock units on february 8, 2021 to cover payroll and withholding taxes, with the balance of the shares (1,077) maintained by the reporting person; the disposition reported in this form 4 was effected by a broker pursuant to instructions set forth in a rule 10b5-1 trading plan adopted by the reporting person at least 60 days prior to the transaction date in box 3 above. additionally, issuer policy restricts the reporting person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
f6 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $116.01 to $117.20. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f7 sale of 1,522 shares of common stock issued upon vesting of 2,892 restricted stock units on february 8, 2021 to cover payroll and withholding taxes, with the balance of the shares (1,370) maintained by the reporting person; the disposition reported in this form 4 was effected by a broker pursuant to instructions set forth in a rule 10b5-1 trading plan adopted by the reporting person at least 60 days prior to the transaction date in box 3 above. additionally, issuer policy restricts the reporting person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
f8 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $115.95 to $117.70. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f9 the disposition reported in this form 4 was effected by a broker pursuant to instructions set forth in a rule 10b5-1 trading plan adopted by the reporting person at least 60 days prior to the transaction date in box 3 above. additionally, issuer policy restricts the reporting person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.
f10 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $115.31 to $117.22. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f11 represents a weighted average sales price per share. these shares were sold in multiple transactions at prices ranging from $115.35 to $117.25. the reporting person has provided to the issuer, and will provide to any security holder of the issuer or the sec staff, upon request, information regarding the number of shares sold at each price within the range.
f12 represents option of which 1/48th of the shares underlying the option becomes vested and exercisable on march 8, 2021 and an additional 1/48th of the shares underlying the option becomes vested and exercisable each month thereafter.
f13 each restricted stock unit represents a contingent right to receive one share of the issuer common stock.
f14 the restricted stock units will vest annually at 1/4 of the units vesting on each of february 8, 2022, february 8, 2023, february 8, 2024, and february 8, 2025.
f15 option granted february 05, 2016 and vested monthly over four years.

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