SEC Form 4 · accession 0001562180-15-001071
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Shalini Sharp
Officer — CFO & Senior Vice President
Period of report
Dec 10, 2015
Accepted (ET)
Dec 14, 2015 · 4:23 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 Stock | Dec 10, 2015 | M | 12,000 | $0.815 | A | 53,801 | D | |
| Common StockF2 | Dec 10, 2015 | S | 6,723 | $102.16 | D | 47,078 | D | |
| Common StockF3 | Dec 10, 2015 | S | 5,277 | $101.03 | D | 41,801 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF4 | $0.815 | Dec 10, 2015 | M | 12,000 | D | — | Aug 1, 2022 | Common Stock | 12,000 | 98,663 | D |
Explanation of responses
- F1The 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $102.00 to $102.53 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.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $101.00 to $101.155 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.
- F41/4 of the option vested one year from May 21, 2012 and then 1/48th of the shares vest monthly thereafter provided the reporting person has not terminated services with the Issuer.