SEC Form 4 · accession 0001209191-18-016405
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Emil D Kakkis
Officer — President & CEO · Director
Period of report
Mar 1, 2018
Accepted (ET)
Mar 5, 2018 · 4:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001515673
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 1, 2018 | A | 19,500 | $0.00 | A | 450,069 | D | |
| Common StockF3 | Mar 1, 2018 | F | 1,114 | $48.43 | D | 448,955 | D | |
| Common Stock | holding | — | — | — | 2,559,741 | I | By Emil Kakkis and Jenny Soriano Living Trust, dated June 18, 2009 |
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)F4 | $48.43 | Mar 1, 2018 | A | 94,500 | A | — | Mar 1, 2028 | Common Stock | 94,500 | 94,500 | D |
Explanation of responses
- F1Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant date.
- F2Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
- F3Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.
- F4On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date.