SEC Form 4 · accession 0001400482-16-000225
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
Sep 1, 2016
Accepted (ET)
Sep 2, 2016 · 3:35 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 | Sep 1, 2016 | M | 7,473 | — | A | 76,324 | D | |
| Common StockF1,F3 | Sep 1, 2016 | F | 3,135 | $9.84 | D | 73,189 | 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 | — | Sep 1, 2016 | M | 7,473 | D | — | — | Common Stock | 7,473 | 239,128 | 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 (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 RSUs. 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.