# EDGAR Filing Document

**Accession Number:** 0001515673
**File Stem:** 0001209191-23-016041
**Filing Date:** 2023-3
**Character Count:** 7524
**Document Hash:** cef54491347495479b1d65a2a22d1158
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-016041.hdr.sgml**: 20230303

**ACCESSION NUMBER**: 0001209191-23-016041

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230301

**FILED AS OF DATE**: 20230303

**DATE AS OF CHANGE**: 20230303

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** KAKKIS EMIL D
- **CENTRAL INDEX KEY:** 0001248093

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36276
- **FILM NUMBER:** 23707046

**MAIL ADDRESS:**
- **STREET 1:** C/O ULTRAGENYX PHARMACEUTICAL INC.
- **STREET 2:** 60 LEVERONI COURT
- **CITY:** NOVATO
- **STATE:** CA
- **ZIP:** 94949
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ultragenyx Pharmaceutical Inc.
- **CENTRAL INDEX KEY:** 0001515673
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 272546083
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 60 LEVERONI COURT
- **CITY:** NOVATO
- **STATE:** CA
- **ZIP:** 94949
- **BUSINESS PHONE:** 415-483-8800

**MAIL ADDRESS:**
- **STREET 1:** 60 LEVERONI COURT
- **CITY:** NOVATO
- **STATE:** CA
- **ZIP:** 94949

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>KAKKIS EMIL D<br><sub>(Last) (First) (Middle)</sub><br>C/O ULTRAGENYX PHARMACEUTICAL INC.<br>60 LEVERONI COURT<br><sub>(Street)</sub><br>NOVATO, CA 94949<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President & CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Ultragenyx Pharmaceutical Inc. [ RARE ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-03-01 |  | A |  | 8716<sup>(1)</sup> | A | $0.00 | 569406 | D |  |
| Common Stock | 2023-03-01 |  | A |  | 46200<sup>(2)</sup> | A | $0.00 | 615606 | D |  |
| Common Stock | 2023-03-01 |  | F |  | 16140<sup>(3)</sup> | D | $45.65 | 599176<sup>(4)(5)</sup> | D |  |
| Common Stock |  |  |  |  |  |  |  | 2263985 | I | By Emil Kakkis and Jenny Soriano Living Trust, dated June 18, 200 |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Stock Option (Right to Buy) | $45.65 | 2023-03-01 |  | A |  | 83500 |  | <sup>(6)</sup> | 2033-03-01 | Common Stock | 83500 | $0.00 | 83500 | D |  |

---

### Footnotes:

(1) Represents shares of common stock which previously granted performance stock units were converted on March 1, 2023 upon certification of the performance metric.

(2) 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.

(3) Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

(4) Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

(5) Reflects transfer of directly owned shares of common stock from the  Reporting Person to a trust indirectly held by the Reporting Person that have taken place since the most recent prior report on Form 4.

(6) 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.

**Remarks:**
This Form 4 corrects an error made in the Reporting Person's prior most recent Form 4 which reflected a sale that occurred from his individual account, rather than from his trust account.  The amounts set forth in Table I, Column 6 of this Form 4 reflect the corrected amounts that are directly and indirectly beneficially owned by the Reporting Person.

**Signature:** /s/ Karah Parschauer, attorney-in-fact  
**Date:** 2023-03-03

### Remarks:

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.**