SEC Form 4 · accession 0001209191-19-017932
UroGen Pharma Ltd. · URGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Mullennix
Officer — Chief Operating Officer
Period of report
Feb 14, 2019
Accepted (ET)
Mar 7, 2019 · 9:44 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001668243
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Feb 14, 2019 | M | 7,034 | — | A | 7,034 | D | |
| Ordinary SharesF2 | Feb 14, 2019 | S | 2,804 | $37.30 | D | 4,230 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F3 | — | Feb 14, 2019 | M | 7,034 | D | — | — | Ordinary Shares | 7,034 | 14,073 | D |
Explanation of responses
- F1Each restricted stock unit represents a contingent right to receive one ordinary share of the Issuer.
- F2Represents shares sold to satisfy withholding tax obligations upon the settlement of restricted stock units.
- F3The reporting person was granted restricted stock units ("RSUs") on March 7, 2018, June 4, 2018 and October 28, 2018 representing 21,107 ordinary shares in the aggregate. 1/3rd of the RSUs vested on February 14, 2019 (with the issuance of the underlying ordinary shares delayed until March 5, 2019), with the balance vesting in equal quarterly installments thereafter over a period of two years.