SEC Form 4 · accession 0001637663-15-000004
KUBOTA PHARMACEUTICAL HOLDINGS CO LTD · M??????
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dewey H. Blocker Jr.
Officer — VICE PRESIDENT FINANCE
Period of report
Mar 24, 2015
Accepted (ET)
Mar 26, 2015 · 4:36 pm EDT
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $5.64 | Mar 24, 2015 | A | 40,000 | A | — | Mar 24, 2025 | Common Stock | 40,000 | 40,000 | D |
| Restricted Stock UnitF2,F3 | — | Mar 24, 2015 | A | 20,000 | A | — | Mar 24, 2019 | Common Stock | 20,000 | 20,000 | D |
Explanation of responses
- F1The option vests and is exercisable at the rate of 1/5th of the total shares annually, with 100% vested and exercisable on March 24, 2019, subject to the reporting person's provision of service to the issuer on each vesting date.
- F2Each restricted stock unit represents a contingent right to receive (1) share of the issuer's common stock upon settlement.
- F3The restricted stock unit vests at the rate of 1/5th of the total shares annually on each anniversary of the date of grant, subject to the reporting person's provision of service to the issuer on each vesting date.