SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Aliski William

(Last) (First) (Middle)
C/O ULTRAGENYX PHARMACEUTICAL INC.
60 LEVERONI COURT

(Street)
NOVATO CA 94949

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Ultragenyx Pharmaceutical Inc. [ RARE ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/05/2014
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/05/2014 C 84,970 A (1) 121,900 I By trust(2)
Common Stock 05/12/2015 S 10,500 D $68.65 111,400 I By trust(2)
Common Stock 05/27/2015 S 2,000 D $85.94 109,400 I By trust(2)
Common Stock 07/27/2015 S 400 D $122.58 109,000 I By trust(2)
Common Stocki 04/19/2018 S 650 D $53.97 108,350 I By trust(2)
Common Stock 10/08/2018 S(3) 6,000 D $73.38 102,350 I By trust(2)
Common Stock 72,610 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series A Preferred Stock (4) 02/05/2014 C 266,343 (4) (4) Common Stock 84,970(5) $0.00 0 I By trust(2)
Explanation of Responses:
1. The number of shares of Common Stock reported reflects the automatic conversion of shares of Series A Preferred Stock into Common Stock on a 1-for-3.1345 basis immediately prior to the closing of the Issuer's initial public offering.
2. These shares are held in a trust for the benefit of the reporting person's spouse and children. The reporting person's spouse and nephew are trustees of the trust.
3. The sales reported on this Form 4 were effected pursuant to a trading plan adopted by the Reporting Person's trust pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
4. Each share of Series A Convertible Preferred Stock was convertible into Common Stock at any time and automatically converted into Common Stock on a 1-for-3.1345 basis immediately prior to the closing of the Issuer's initial public offering of Common Stock and had no expiration date.
5. The number of underlying shares of Common Stock reported in Column 7 reflects the automatic conversion of shares of Series A Preferred Stock into Common Stock on a 1-for-3.1345 basis immediately prior to the closing of the Issuer's initial public offering.
Remarks:
In addition to reporting a current indirect transaction by a trust holding shares for the benefit of the reporting person's spouse and children, this Form 4 also reports previously unreported historical transactions by the trust.
/s/ Ruben A. Garcia, attorney-in-fact 10/09/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.