SEC Form 4 · accession 0001400482-16-000236
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lukas Scheibler
Officer — EVP of Research & Development
Period of report
Oct 17, 2016
Accepted (ET)
Oct 18, 2016 · 3:39 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 | Oct 17, 2016 | M | 2,664 | $0.00 | A | 2,664 | D | |
| Common StockF1,F3 | Oct 17, 2016 | F | 890 | $11.4835 | D | 1,774 | 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 | — | Oct 17, 2016 | M | 2,664 | D | — | — | Common Stock | 2,664 | 90,558 | 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 August 17, 2015, the reporting person was granted 127,847 RSUs, four year vesting period, with 25% of the RSUs vesting on August 17, 2016, and the remainder vesting thereafter on a monthly pro-rata basis, such that 100% of the RSUs are vested on August 17, 2019, subject to the reporting person's continuing employment through the applicable vesting date.