SEC Form 4 · accession 0001400482-15-000114
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ryo Kubota
Officer — CEO, President and COB · Director · 10% Owner
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 4:56 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001400482
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 15, 2015 | M | 10,000 | $1.45 | A | 10,250,654 | D |
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 | $1.45 | Dec 15, 2015 | M | 10,000 | D | — | May 4, 2017 | Common Stock | 10,000 | 0 | D |
Explanation of responses
- F1The 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. 333-192900).
- F2The options became 100% vested and exercisable on April 27, 2010.