SEC Form 4 · accession 0001641342-15-000004
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
May 1, 2015
Accepted (ET)
May 5, 2015 · 8:03 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F2,F3 | — | May 1, 2015 | A | 358,692 | A | — | May 1, 2025 | Common Stock | 358,692 | 358,692 | D |
Explanation of responses
- F1Each restricted stock unit (RSU) represents a contingent right to receive one (1) share of the issuer's common stock upon settlement.
- F2The RSU will be subject to a 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 basis, such that 100% is vested and exercisable on 5/1/2019, subject to the reporting person's provision of service to the issuer on each vesting date.
- F3The 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. 333-192000).