SEC Form 4 · accession 0001562180-16-003581
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Theodore Alan Huizenga
Officer — Controller and PAO
Period of report
Nov 16, 2016
Accepted (ET)
Nov 18, 2016 · 4:11 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 StockF1,F2 | Nov 16, 2016 | M | 2,000 | $21.00 | A | 13,134 | D | |
| Common StockF3,F1,F2 | Nov 16, 2016 | S | 2,000 | $79.73 | D | 11,134 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F4 | $21.00 | Nov 16, 2016 | M | 2,000 | D | — | Jan 29, 2024 | Common Stock | 2,000 | 22,403 | D |
Explanation of responses
- F1Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions.
- F2Due to a clerical error, the Forms 4 filed by the Reporting Person on each of June 19, 2015, December 18, 2015, January 19, 2016, February 17, 2016, May 24, 2016, and May 27, 2016 listed incorrect amounts in Column 5. The Form 4 filed on June 19, 2015 has been amended to reflect the correct share ownership following the reported transaction of 4,300 shares rather than 2,500 shares. The Form 4 filed on December 18, 2015 should have reflected 4,300 shares rather than 2,500 shares; the Form 4 filed on January 19, 2016 should have reflected 5,300 shares rather than 3,500 shares; the Form 4 filed on February 17, 2016 should have reflected 6,300 shares rather than 4,500 shares; the Form 4 filed May 24, 2016 should have reflected 6,134 shares rather than 4,334 shares; and the Form 4 filed on May 27, 2016 should have reflected 11,134 shares rather than 9,334 shares.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.70 to $79.82 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 shares underlying the option vested on January 27, 2015, with 1/48th of the underlying shares vesting monthly thereafter, provided the Reporting Person has not terminated services with the Issuer.