SEC Form 4 · accession 0001400482-16-000172
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Gebhart
Officer — Chief Financial Officer
Period of report
Jun 1, 2016
Accepted (ET)
Jun 3, 2016 · 12:52 pm EDT
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,F2 | Jun 1, 2016 | M | 7,473 | — | A | 63,311 | D | |
| Common StockF1,F3 | Jun 1, 2016 | F | 3,135 | $10.76 | D | 60,176 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF2,F4 | — | Jun 1, 2016 | M | 7,473 | D | — | — | Common Stock | 7,473 | 261,546 | 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).
- F2Each restricted stock unit (RSU) represents a contingent right to receive one (1) share of the issuer's common stock upon settlement. This transaction represents the settlement of RSUs in shares of common stock on their scheduled vesting date.
- F3The reported shares were withheld to cover the reporting person's tax liability in connection with the vesting of restricted stock units. These shares were not sold by the reporting person.
- F4On May 1, 2015, the reporting person was granted 358,692 RSUs, four year vesting period, with twenty-five percent (25%) of the RSUs vesting on 5/1/2016, and the remainder vesting thereafter on a monthly pro-rata basis, such that 100% of the RSUs are vested on 5/1/2019, subject to the reporting person's continued employment through the applicable vesting date.