SEC Form 4
FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION | ||
Washington, D.C. 20549 | OMB APPROVAL | |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP | ||
OMB Number: | 3235-0287 | |
Estimated average burden | ||
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 | hours per response: | 0.5 |
or Section 30(h) of the Investment Company Act of 1940 |
1. Name and Address of Reporting Person* | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer | ||||||||||||||||||||||||||||||||
Parschauer Karah Herdman | Ultragenyx Pharmaceutical Inc.[ RARE ] | (Check all applicable) | ||||||||||||||||||||||||||||||||
Director | 10% Owner | |||||||||||||||||||||||||||||||||
X | Officer (give title | Other (specify | ||||||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) | below) | below) | |||||||||||||||||||||||||||||
EVP and General Counsel | ||||||||||||||||||||||||||||||||||
C/O ULTRAGENYX PHARMACEUTICAL INC. | 10/30/2020 | |||||||||||||||||||||||||||||||||
60 LEVERONI COURT | ||||||||||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable | |||||||||||||||||||||||||||||||||
(Street) | Line) | |||||||||||||||||||||||||||||||||
X Form filed by One Reporting Person | ||||||||||||||||||||||||||||||||||
NOVATO | CA | 94949 | ||||||||||||||||||||||||||||||||
Form filed by More than One Reporting | ||||||||||||||||||||||||||||||||||
Person | ||||||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ||||||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
1. Title of Security (Instr. 3) | 2. Transaction | 2A. Deemed | 3. | 4. Securities Acquired (A) or | 5. Amount of | 6. Ownership | 7. Nature | |||||||||||||||||||||||||||
Date | Execution Date, | Transaction | Disposed Of (D) (Instr. 3, 4 and 5) | Securities | Form: Direct | of Indirect | ||||||||||||||||||||||||||||
(Month/Day/Year) | if any | Code (Instr. | Beneficially | (D) or Indirect | Beneficial | |||||||||||||||||||||||||||||
(Month/Day/Year) | 8) | Owned Following | (I) (Instr. 4) | Ownership | ||||||||||||||||||||||||||||||
Reported | (Instr. 4) | |||||||||||||||||||||||||||||||||
Code | V | Amount | (A) or | Price | Transaction(s) | |||||||||||||||||||||||||||||
(D) | (Instr. 3 and 4) | |||||||||||||||||||||||||||||||||
Common Stock | 10/30/2020 | M(1) | 9,903 | A | $54.5 | 33,871 | D | |||||||||||||||||||||||||||
Common Stock | 10/30/2020 | S | 9,903 | D | $100.12(2) | 24,061(3)(4) | D | |||||||||||||||||||||||||||
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||||||||
(e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||||||||
1. Title of | 2. | 3. Transaction | 3A. Deemed | 4. | 5. Number | 6. Date Exercisable and | 7. Title and | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||||||||
Derivative | Conversion | Date | Execution Date, | Transaction | of | Expiration Date | Amount of | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||||||||
Security | or Exercise | (Month/Day/Year) | if any | Code (Instr. | Derivative | (Month/Day/Year) | Securities | Security | Securities | Form: | Beneficial | |||||||||||||||||||||||
(Instr. 3) | Price of | (Month/Day/Year) | 8) | Securities | Underlying | (Instr. 5) | Beneficially | Direct (D) | Ownership | |||||||||||||||||||||||||
Derivative | Acquired | Derivative Security | Owned | or Indirect | (Instr. 4) | |||||||||||||||||||||||||||||
Security | (A) or | (Instr. 3 and 4) | Following | (I) (Instr. 4) | ||||||||||||||||||||||||||||||
Disposed | Reported | |||||||||||||||||||||||||||||||||
of (D) | Transaction(s) | |||||||||||||||||||||||||||||||||
(Instr. 3, 4 | (Instr. 4) | |||||||||||||||||||||||||||||||||
and 5) | ||||||||||||||||||||||||||||||||||
Amount | ||||||||||||||||||||||||||||||||||
or | ||||||||||||||||||||||||||||||||||
Number | ||||||||||||||||||||||||||||||||||
Date | Expiration | of | ||||||||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Shares | |||||||||||||||||||||||||||
Stock | ||||||||||||||||||||||||||||||||||
Option | $54.5 | 10/30/2020 | M | 9,903 | (5) | 06/20/2026 | Common | 9,903 | $0.00 | 25,000 | D | |||||||||||||||||||||||
(Right to | Stock | |||||||||||||||||||||||||||||||||
Buy) | ||||||||||||||||||||||||||||||||||
Explanation of Responses:
- The transactions reported on this Form 4 were effected pursuant to a trading plan adopted by the Reporting Person pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.20 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 previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.
- Includes 93 shares acquired under the Company's 2014 Employee Stock Purchase Plan on October 31, 2020.
- The option vested with respect to 1/4th of the shares on June 20, 2017 (the first anniversary of the grant date of the option or the "Option Anniversary Date") and 1/48th of the shares initially subject to the option continued to vest on each month as measured from the Option Anniversary Date such that the option fully vested on the fourth anniversary of the grant date.
Remarks:
/s/ Karah Parschauer | 11/02/2020 | ||
** 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).
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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.
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Ultragenyx Pharmaceutical Inc. published this content on 02 November 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 02 November 2020 22:14:07 UTC