SEC Form 4 · accession 0001562180-16-003561
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
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:01 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 StockF2 | Nov 15, 2016 | S | 1,414 | $79.39 | D | 465,733 | D | |
| Common StockF3 | Nov 15, 2016 | S | 6,451 | $80.64 | D | 459,282 | D | |
| Common StockF4 | Nov 15, 2016 | S | 7,755 | $81.55 | D | 451,527 | D | |
| Common StockF5 | Nov 15, 2016 | S | 4,180 | $82.36 | D | 447,347 | D | |
| Common StockF6 | Nov 15, 2016 | S | 200 | $83.01 | D | 447,147 | D | |
| Common Stock | holding | — | — | — | 2,552,241 | I | By Emil Kakkis and Jenny Soriano Living Trust, Dated June 18, 2009 |
Table II — derivative securities
No Table II lines on this filing.
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 $78.97 to $79.74 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 $79.97 to $80.955 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.
- F4The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.00 to $81.98 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 $82.00 to $82.95 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 $83.00 to $83.01 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.