Filing Details
- Accession Number:
- 0001209191-21-017546
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-03-03 20:39:51
- Reporting Period:
- 2021-03-01
- Accepted Time:
- 2021-03-03 20:39:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1515673 | Ultragenyx Pharmaceutical Inc. | RARE | Pharmaceutical Preparations (2834) | 272546083 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1641217 | Karl Dennis Huang | C/O Ultragenyx Pharmaceutical Inc. 60 Leveroni Court Novato CA 94949 | Evp & Chief Tech Ops Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2021-03-01 | 5,500 | $0.00 | 40,199 | No | 4 | A | Direct | |
| Common Stock | Acquisiton | 2021-03-01 | 4,636 | $0.00 | 44,835 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2021-03-01 | 4,255 | $138.18 | 40,761 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Acquisiton | 2021-03-01 | 11,000 | $0.00 | 11,000 | $142.47 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 11,000 | 2031-03-01 | No | 4 | A | Direct |
Footnotes
- Award of Restricted Stock Units ("RSUs") under the Company's 2014 Incentive Plan. The RSUs shall vest with respect to 1/4th of the underlying shares on each anniversary of the grant date, such that the RSUs are fully vested on the fourth anniversary of the grant date.
- Represents 1,530 shares of common stock and 3,106 RSUs into which previously granted performance stock units were converted on March 1, 2021 upon certification of the performance metric. The RSUs will fully vest on March 1, 2022.
- Represents shares sold to pay required tax withholdings due to the vesting of RSUs.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $138.17 to $138.19 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.
- Includes 181 shares acquired under the Company's 2014 Employee Stock Purchase Plan on October 31, 2020.
- Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
- On the first anniversary of the grant date of the option (the "Option Anniversary Date"), 1/4th of the shares initially subject to the option shall vest; thereafter, 1/48th of the shares initially subject to the option shall vest on each month as measured from the Option Anniversary Date.
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