SEC Form 4 · accession 0001591408-16-000017
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
Jan 21, 2016
Accepted (ET)
Jan 25, 2016 · 7:46 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy)F1,F2 | $9.22 | Jan 21, 2016 | A | 747,462 | A | — | Jan 21, 2026 | Common Stock | 747,462 | 747,462 | D |
| Incentive Stock Option (right to buy)F1,F2 | $10.14 | Jan 21, 2016 | A | 32,538 | A | — | Jan 21, 2021 | Common Stock | 32,538 | 32,538 | D |
Explanation of responses
- F1Fifty percent (50%) of the total options granted (both incentive and non-qualified) are scheduled to vest incrementally over a three year period from the January 21, 2016 option grant date ("Time Vesting Stock Options"), while the remaining fifty percent (50%) of the total options granted are scheduled to vest incrementally based on the closing market price of the issuer's common stock on the Tokyo Stock Exchange. All of the options determined to be incentive stock options are Time Vesting Stock Options.
- 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. 333-192900)