SEC Form 4 · accession 0001562180-15-000703
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sunil Agarwal
Officer — Chief Medical Officer
Period of report
Aug 19, 2015
Accepted (ET)
Aug 21, 2015 · 7:32 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 StockF1,F2 | Aug 19, 2015 | F | 5,480 | $116.99 | D | 23,920 | D | |
| Common StockF4,F2 | Aug 20, 2015 | S | 3,370 | $112.1892 | D | 20,550 | D | |
| Common StockF5,F2 | Aug 20, 2015 | S | 3,650 | $112.7284 | D | 16,900 | D | |
| Common StockF2 | Aug 20, 2015 | M | 10,000 | $55.88 | A | 26,900 | D | |
| Common StockF6,F2 | Aug 20, 2015 | S | 724 | $107.302 | D | 26,176 | D | |
| Common StockF7,F2 | Aug 20, 2015 | S | 1,471 | $108.9801 | D | 24,705 | D | |
| Common StockF8,F2 | Aug 20, 2015 | S | 4,875 | $110.3961 | D | 19,830 | D | |
| Common StockF9,F2 | Aug 20, 2015 | S | 2,000 | $111.214 | D | 17,830 | D | |
| Common StockF10,F2 | Aug 20, 2015 | S | 930 | $111.9035 | D | 16,900 | 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)F11 | $55.88 | Aug 20, 2015 | M | 10,000 | D | — | Aug 18, 2024 | Common Stock | 10,000 | 140,000 | D |
Explanation of responses
- F1Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person under the Issuers 2014 Incentive Plan. The shares surrendered were valued based on the closing price of the Issuers common stock on the vesting date.
- F10The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.8800 to $111.9100 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.
- F111/4th of the shares underlying the option vested on August 19, 2015, and then 1/48th of the underlying shares will vest monthly thereafter, provided the Reporting Person has not terminated services with the Issuer.
- F2Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
- F3The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.9100 to $112.4500 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.
- F5The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.4600 to $113.3800 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.
- F6The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.1103 to $107.5100 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.
- F7The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.6900 to $109.6700 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.
- F8The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.7367 to $110.6900 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.
- F9The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.7600 to $111.7000 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.