SEC Form 4/A · accession 0001209191-18-054521
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Karah Herdman Parschauer
Officer — EVP and General Counsel
Period of report
Aug 21, 2018
Accepted (ET)
Oct 9, 2018 · 4:25 pm EDT
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 Stock | Aug 21, 2018 | M | 5,000 | $54.50 | A | 19,181 | D | |
| Common StockF1,F2 | Aug 21, 2018 | S | 5,000 | $78.53 | D | 14,181 | D |
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)F3 | $54.50 | Aug 21, 2018 | M | 5,000 | D | — | Jun 20, 2026 | Common Stock | 5,000 | 55,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.43 to $78.63 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F2Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
- F31/4th of the option vested on June 20, 2017 and 1/48th of the option vests monthly thereafter.
Remarks
This amendment is filed to report the exercise of 5000 previously awarded stock options that was part of the same day sale reported on August 21, 2018 and to correct the direct holdings reported therein. No other changes were made to the information reported on the original Form 4 filed on August 21, 2018.