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*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Ultragenyx Pharmaceutical Inc. [ RARE ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 08/19/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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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 | 08/19/2015 | F | 5,480(1) | D | $116.99 | 23,920(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 3,370 | D | $112.1892(4) | 20,550(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 3,650 | D | $112.7284(5) | 16,900(2) | D | |||
Common Stock | 08/20/2015 | M | 10,000 | A | $55.88 | 26,900(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 724 | D | $107.302(6) | 26,176(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 1,471 | D | $108.9801(7) | 24,705(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 4,875 | D | $110.3961(8) | 19,830(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 2,000 | D | $111.214(9) | 17,830(2) | D | |||
Common Stock | 08/20/2015 | S(3) | 930 | D | $111.9035(10) | 16,900(2) | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 | ||||||||
Stock Option (Right to Buy) | $55.88 | 08/20/2015 | M | 10,000 | (11) | 08/18/2024 | Common Stock | 10,000 | $0.00 | 140,000 | D |
Explanation of Responses: |
1. Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due upon vesting of Restricted Stock Units granted to the Reporting Person under the Issuers 2014 Incentive Plan. The shares surrendered were valued based on the closing price of the Issuers common stock on the vesting date. |
2. Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting Person, which are subject to certain vesting conditions. |
3. The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. |
4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.9100 to $112.4500 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. |
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.4600 to $113.3800 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. |
6. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.1103 to $107.5100 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. |
7. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.6900 to $109.6700 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. |
8. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $109.7367 to $110.6900 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. |
9. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $110.7600 to $111.7000 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. |
10. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.8800 to $111.9100 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. |
11. 1/4th of the shares underlying the option vested on August 19, 2015, and then 1/48th of the underlying shares will vest monthly thereafter, provided the Reporting Person has not terminated services with the Issuer. |
Remarks: |
/s/ Sunil Agarwal | 08/21/2015 | |
** 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. |