SEC Form 4 · accession 0001562180-16-003255
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
Oct 19, 2016
Accepted (ET)
Oct 21, 2016 · 4:00 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 | Oct 19, 2016 | M | 12,000 | $0.815 | A | 57,387 | D | |
| Common StockF2 | Oct 19, 2016 | S | 5,068 | $60.98 | D | 52,319 | D | |
| Common StockF3 | Oct 19, 2016 | S | 6,932 | $61.71 | D | 45,387 | 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 | Oct 19, 2016 | M | 12,000 | D | — | Aug 1, 2022 | Common Stock | 12,000 | 86,663 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the Reporting Person 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 $60.28 to $61.28 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 $61.29 to $62.14 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 monthly thereafter.