Statement of Changes in Beneficial Ownership (4)
February 23 2021 - 2:31PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Aliski William |
2. Issuer Name and Ticker or Trading Symbol
Ultragenyx Pharmaceutical Inc.
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RARE
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ULTRAGENYX PHARMACEUTICAL INC., 60 LEVERONI COURT |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/19/2021 |
(Street)
NOVATO, CA 94949
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/19/2021 | | M | | 7500 | A | $97.85 | 73204 | D | |
Common Stock | 2/19/2021 | | S | | 7500 | D | $149.01 (1) | 65704 | D | |
Common Stock | 2/23/2021 | | G | | 1000 | D | $0.00 | 64704 (2) | D | |
Common Stock | | | | | | | | 70350 | I | By trust (3) |
Common Stock | | | | | | | | 10456 | I | By trust (4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $97.85 | 2/19/2021 | | M | | | 7500 | (5) | 6/18/2025 | Common Stock | 7500 | $0.00 | 0 | D | |
Explanation of Responses: |
(1) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $149.00 to $149.15 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. |
(2) | Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions. |
(3) | 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. |
(4) | These shares are held in a grantor retained annuity trust. The Reporting Person is the trustee of the trusts. |
(5) | The option vested in full on on June 9, 2016. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Aliski William C/O ULTRAGENYX PHARMACEUTICAL INC. 60 LEVERONI COURT NOVATO, CA 94949 | X |
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Signatures
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/s/ Karah Parschauer, attorney-in-fact | | 2/23/2021 |
**Signature of Reporting Person | Date |
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