SEC Form 4 · accession 0001400482-15-000003
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian O'Callaghan
Officer — Chief Executive Officer · Director
Period of report
Jan 27, 2015
Accepted (ET)
Jan 29, 2015 · 5:11 pm EST
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)F1,F2 | $5.78 | Jan 27, 2015 | A | 712,480 | A | — | Jan 27, 2025 | Common Stock | 712,480 | 712,480 | D |
| Restricted Stock UnitF3,F4,F2 | — | Jan 27, 2015 | A | 356,410 | A | — | Jan 1, 2019 | Common Stock | 356,410 | 356,410 | D |
Explanation of responses
- F1Twenty-five percent (25%) of the shares subject to the option vest on the 1/1/2015, and then 1/48th of the shares subject to the option vest each month thereafter, with 100% vested and exercisable on 1/1/2019, subject to the reporting person's provision of service to the issuer on each vesting date.
- F2The 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).
- F3Each restricted stock unit (RSU) represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.
- F4The RSUs vest 25% on 1/1/2015 and an additional 12.5% every six months thereafter, with 100% vested on 1/1/2019, subject to the reporting person's provision of service to the issuer on each vesting date.