SEC Form 4 · accession 0001562180-16-003674
Ultragenyx Pharmaceutical Inc. · RARE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William Aliski
Director
Period of report
Dec 5, 2016
Accepted (ET)
Dec 5, 2016 · 5:39 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 5, 2016 | M | 6,000 | $21.00 | A | 65,985 | D | |
| Common StockF1 | Dec 5, 2016 | S | 4,000 | $77.94 | D | 61,985 | D | |
| Common StockF2 | Dec 5, 2016 | S | 2,000 | $78.70 | D | 59,985 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F3 | $21.00 | Dec 5, 2016 | M | 6,000 | D | — | Jan 29, 2024 | Common Stock | 6,000 | 11,500 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.60 to $78.51 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.60 to $78.75 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.
- F31/3 of the shares initially subject to the option vested one year from January 30, 2014 and then 1/36 of the shares initially subject to the option began vesting monthly thereafter.