13D Filing: Alafi Capital Co LLC and Intra-Cellular Therapies Inc. (ITCI)

1

Name of
reporting person

Christopher Alafi, Ph.D.

2

Check the appropriate box if a member
of a group

(a) ☐ (b) ☒ (joint filers)

3

SEC use only

4

Source of funds

OO/PF

5

Check if disclosure of legal
proceedings is required pursuant to Item 2(d) or 2(e) ☐

6

Citizenship or place of
organization

United States

Number of

shares

beneficially

owned by

each

reporting

person

with

7

Sole voting power

1,327,594
shares²

8

Shared voting power

3,953,270
shares³

9

Sole dispositive power

1,327,594
shares⁴

10

Shared dispositive power

3,953,270
shares⁵

11

Aggregate amount beneficially owned by each reporting person

5,280,864 shares⁶

12

Check if the aggregate amount in Row
(11) excludes certain shares ☐

13

Percent of class represented by amount
in Row (11)

9.7%⁷

14

Type of reporting person

IN

13D Filing: Alafi Capital Co LLC and Intra-Cellular Therapies Inc. (ITCI)

Published on November 8, 2017 at 9:59 am by Insider Monkey Staff in Hedge Funds

Page 3 of 12 – SEC Filing

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1	Name of reporting person Christopher Alafi, Ph.D.
2	Check the appropriate box if a member of a group (a) ☐ (b) ☒ (joint filers)
3	SEC use only
4	Source of funds OO/PF
5	Check if disclosure of legal proceedings is required pursuant to Item 2(d) or 2(e) ☐
6	Citizenship or place of organization United States
Number of shares beneficially owned by each reporting person with		7	Sole voting power 1,327,594 shares²
		8	Shared voting power 3,953,270 shares³
		9	Sole dispositive power 1,327,594 shares⁴
		10	Shared dispositive power 3,953,270 shares⁵
11	Aggregate amount beneficially owned by each reporting person 5,280,864 shares⁶
12	Check if the aggregate amount in Row (11) excludes certain shares ☐
13	Percent of class represented by amount in Row (11) 9.7%⁷
14	Type of reporting person IN


		SCHEDULE 13D


CUSIP No. 46116X 101				Page 3 of 13 Pages