Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-017537
Date:2021-03-01
Issuer: ULTRAGENYX PHARMACEUTICAL INC. (RARE)
Original Submission Date:

Reporting Person:

KAKKIS EMIL D
C/O ULTRAGENYX PHARMACEUTICAL INC.
60 LEVERONI COURT NOVATO, CA 94949

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-03-01 A 18,000 a $0.00 596,941 direct
COMMON STOCK 2021-03-01 A 15,453 a $0.00 612,394 direct
COMMON STOCK 2021-03-01 F 16,342 d $142.47 596,052 direct
COMMON STOCK 2021-03-01 S 30,000 d $141.80 2,289,741 indirect
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
STOCK OPTION (RIGHT TO BUY) 142.47 2021-03-01 deemed execution date A 36,000 (a) 2031-03-01 common stock 36,000 $142.47 36,000 direct
Footnotes
IDfootnote
f1 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.
f2 represents 5,099 shares of common stock and 10,354 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.
f3 represents shares surrendered to the issuer by the reporting person to pay required tax withholdings due to the vesting of rsus.
f4 includes previously reported shares of common stock underlying rsus granted to the reporting person, which are subject to certain vesting conditions.
f5 the sales 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.
f6 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $139.89 to $143.97 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.
f7 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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