SEC Form 4 · accession 0001016353-15-000007
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward H Danse
Officer — Chief Business Officer
Period of report
May 7, 2015
Accepted (ET)
May 8, 2015 · 7:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001400482
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2,F1,F3,F4 | $5.48 | May 7, 2015 | A | 240,323 | A | — | May 1, 2025 | Common Stock | 240,323 | 240,323 | D |
Explanation of responses
- F1The exercise price of the stock options is the closing price of the Issuer's common stock on May 7, 2015, which is the first trading day of the Issuer's common stock on the Tokyo Stock Exchange following the May 1, 2015 grant date.
- F2The options were deemed to be acquired by the Reporting Person upon the date the exercise price became fixed.
- F3Twenty-five percent (25%) of the shares subject to the option vest on 5/1/2016, and the remaining 75% of the shares subject to the option vest on a monthly basis over the following three years, with 100% vested and exercisable on 5/1/2019, subject to the optionee's provision of service to the Issuer on each such vesting date.
- F4The issuer's common stock trades on the Tokyo Stock Exchange under the symbol referenced in the issuer's registration statement on Form S-1 (File No. 333-192000).