Ultragenyx Pharmaceutical Inc
For the period ended Dec 31, 2023. Filed Feb 21, 2024.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Feb 21, 2024
RARE$16.14-1.6%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. Exhibits and Financial Statement Schedules
(a) The following documents are filed as part of this Annual Report.
(1) Consolidated Financial Statements
Consolidated Financial Statements—See Index to Consolidated Financial Statements at page F-1 of this Annual Report.
(2) Consolidated Financial Statement Schedules
Consolidated Financial Statement schedules have been omitted in this Annual Report because they are not applicable, not required under the instructions, or the information requested is set forth in the Consolidated Financial Statements or related notes thereto.
(b) Exhibits
| Exhibit · Incorporated by Reference · Filed | ||||
|---|---|---|---|---|
| Number · Exhibit Description · Form · Date · Number · Herewith | ||||
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 2/5/2014 | 3.1 |
| 3.2 | Second Amended and Restated Bylaws | 8-K | 12/21/2023 | 3.1 |
| 4.1 | Form of Common Stock Certificate | S-1 | 11/8/2013 | 4.2 |
| 4.2 | Form of Indenture | S-3 ASR | 2/12/2021 | 4.2 |
| 4.3 | Form of Pre-Funded Warrant | 8-K | 10/23/2023 | 4.1 |
| 4.4 | Description of Common Stock | 10-K | 2/14/2020 | 4.3 |
| 10.1* | Collaboration and License Agreement, effective as of August 29, 2013, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | S-1/A | 12/23/2013 | 10.1 |
| 10.2 | Amendment No. 1 to Collaboration and License Agreement, effective as of August 24, 2015, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-Q | 11/10/2015 | 10.2 |
| 10.3 | Amendment No. 2 to Collaboration and License Agreement, effective as of November 28, 2016, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-K | 2/21/2018 | 10.3 |
| 10.4* | Amendment No. 3 to Collaboration and License Agreement, effective September 29, 2017, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-K | 2/21/2018 | 10.4 |
| 10.5* | Amendment No. 4 to Collaboration and License Agreement, effective as of January 29, 2018, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-K | 2/21/2018 | 10.5 |
| 10.6* | Amendment No. 5 to Collaboration and License Agreement, effective as of April 30, 2018, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-Q | 8/3/2018 | 10.1 |
| 10.7* | Amendment No. 6 to Collaboration and License Agreement, effective as of February 1, 2019, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-Q | 5/7/2019 | 10.2 |
| 10.8* | Amendment No. 7 to Collaboration and License Agreement, effective as of December 5, 2018, between Ultragenyx Pharmaceutical Inc. and Kyowa Hakko Kirin Co., Ltd. | 10-Q | 5/7/2019 | 10.3 | |
| 10.9* | Amendment No. 8 to Collaboration and License Agreement, effective as of July 4, 2019, between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. (formerly, Kyowa Hakko Kirin Co., Ltd.) | 10-Q | 8/2/2019 | 10.1 | |
| 10.10* | Amendment No. 9 to Collaboration and License Agreement, effective December 23, 2019, between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. | 10-K | 2/14/2020 | 10.10 | |
| 10.11* | Amendment No. 10 to Collaboration and License Agreement, effective as of April 1, 2020, between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. | 10-Q | 5/7/2020 | 10.2 | |
| 10.12* | Amendment No. 11 to Collaboration and License Agreement, effective as of December 17, 2021 between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. | 10-K | 2/16/2022 | 10.13 | |
| 10.13* | Amendment No. 12 to Collaboration and License Agreement, effective as of September 29, 2022, between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. | 10-Q | 11/3/2022 | 10.1 | |
| 10.14* | Amendment No. 13 to Collaboration and License Agreement, effective as of May 16, 2023, between Ultragenyx Pharmaceutical Inc. and Kyowa Kirin Co., Ltd. | 10-Q | 8/3/2023 | 10.1 | |
| 10.15* | Unit Purchase Agreement, dated as of July 15, 2022, by and among Ultragenyx Pharmaceutical Inc., GeneTx Biotherapeutics LLC, the Unitholders and Deborah A. Guagliardo | 10-Q | 7/29/2022 | 10.2 | |
| 10.16* | Commercial Supply and Services Agreement – Drug Substance, effective December 7, 2017, between Ultragenyx Europe GmbH and Rentschler Biopharma SE | 10-K | 2/21/2018 | 10.18 | |
| 10.17* | Commercial Master Service Agreement – Drug Product, effective February 22, 2021, between Ultragenyx Pharmaceutical Inc. and BSP Pharmaceuticals S.p.A | 10-K | 2/17/2023 | 10.25 | |
| 10.18* | Commercial Supply Agreement, dated June 19, 2023, between Ultragenyx Pharmaceutical Inc. and IOI Oleo GmbH | X | |||
| 10.19* | Royalty Purchase Agreement, dated as of December 17, 2019, between Ultragenyx Pharmaceutical Inc. and RPI Finance Trust | 10-K | 2/14/2020 | 10.25 | |
| 10.20* | Royalty Purchase Agreement, dated as of July 14, 2022, by and among Rare Delaware Inc., Ultragenyx Pharmaceutical Inc. and OCM LS23 Holdings LP | 10-Q | 7/29/2022 | 10.1 | |
| 10.21# | 2014 Incentive Plan (as amended) | 10-K | 2/17/2017 | 10.20 | |
| 10.22# | Form of Incentive Stock Option Agreement (2014 Plan) | S-1/A | 1/17/2014 | 10.14 | |
| 10.23# | Form of Non Statutory Stock Option Agreement (Employees) (2014 Plan) | S-1/A | 1/17/2014 | 10.15 | |
| 10.24# | Form of Restricted Stock Unit Agreement (Employees) (2014 Plan) | 10-Q | 5/10/2016 | 10.1 | |
| 10.25# | Form of Non-Statutory Stock Option Agreement (Annual Grant for Directors) (2014 Plan) | 10-Q | 8/3/2021 | 10.2 | |
| 10.26# | Form of Restricted Stock Unit Agreement (Annual Grant for Directors) (2014 Plan) | 10-Q | 8/3/2021 | 10.3 | |
| 10.27# | Form of Non-Statutory Stock Option Agreement (Grant for New Directors) (2014 Plan) | 10-Q | 8/3/2021 | 10.4 | |
| 10.28# | Form of Restricted Stock Unit Agreement (Grant for New Directors) (2014 Plan) | 10-Q | 8/3/2021 | 10.5 | |
| 10.29# | 2023 Incentive Plan | S-8 | 6/8/2023 | 4.4 | |
| 10.30# | Form of Incentive Stock Option Agreement (2023 Plan) | X | |||
| 10.31# | Form of Non Statutory Stock Option Agreement (Employees)(2023 Plan) | X | |||
| 10.32# | Form of Restricted Stock Unit Agreement (Employees)(2023 Plan) | X | |||
| 10.33# | Form of Non-Statutory Stock Option Agreement (Annual Grant for Directors) (2023 Plan) | X | |||
| 10.34# | Form of Restricted Stock Unit Agreement (Annual Grant for Directors) (2023 Plan) | X | |||
| 10.35# | Form of Non-Statutory Stock Option Agreement (Grant for New Directors)(2023 Plan) | X | |||
| 10.36# | Form of Restricted Stock Unit Agreement (Grant for New Directors) (2023 Plan) | X | |||
| 10.37# | Form of Performance Stock Unit Agreement (2022) | 10-Q | 5/6/2022 | 10.1 | |
| 10.38# | Form of Performance Stock Unit Agreement (2023) | 10-Q | 5/4/2023 | 10.1 | |
| 10.39# | Amended and Restated 2014 Employee Stock Purchase Plan | S-8 | 6/8/2023 | 4.5 | |
| 10.40# | Corporate Bonus Plan | S-1/A | 1/17/2014 | 10.27 | |
| 10.41# | Employment Inducement Plan | 10-K | 2/12/2021 | 10.43 | |
| 10.42# | First Amendment to Employment Inducement Plan | S-8 | 6/8/2023 | 4.7 | |
| 10.43# | Form of Non Statutory Stock Option Agreement (Inducement Plan) | 10-K | 2/12/2021 | 10.44 | |
| 10.44# | Form of Non Statutory Stock Option Agreement (Inducement Plan) (ex-US) | 10-K | 2/12/2021 | 10.45 | |
| 10.45# | Form of Restricted Stock Unit Agreement (Inducement Plan) | 10-K | 2/12/2021 | 10.46 | |
| 10.46# | Form of Restricted Stock Unit Agreement (Inducement Plan)(ex-US) | 10-K | 2/12/2021 | 10.47 | |
| 10.47# | Ultragenyx Pharmaceutical Inc. Deferred Compensation Plan | 10-Q | 8/3/2021 | 10.1 | |
| 10.48# | Amendment No. 1 to the Ultragenyx Pharmaceutical Inc. Deferred Compensation Plan | 10-Q | 11/3/2021 | 10.1 | |
| 10.49# | Executive Employment Agreement, dated as of June 15, 2011, between Ultragenyx Pharmaceutical Inc. and Emil D. Kakkis, M.D., Ph.D. | S-1 | 11/8/2013 | 10.18 | |
| 10.50# | Amendment No. 1 to Executive Employment Agreement, dated August 8, 2014, between Ultragenyx Pharmaceutical Inc. and Emil D. Kakkis, M.D., Ph.D. | 10-Q | 8/11/2014 | 10.2 | |
| 10.51# | Amendment No. 2, dated September 13, 2022, to Executive Employment Agreement between Ultragenyx Pharmaceutical Inc. and Emil D. Kakkis, M.D., Ph.D. | 10-Q | 11/3/2022 | 10.2 |
| 10.52# | Offer Letter, dated as of October 31, 2011, between Ultragenyx Pharmaceutical Inc. and Thomas Kassberg | S-1 | 11/8/2013 | 10.19 |
| 10.53# | Amendment No. 1 to Offer Letter, dated as of August 8, 2014, between Ultragenyx Pharmaceutical Inc. and Thomas Kassberg | 10-Q | 8/11/2014 | 10.3 |
| 10.54# | Amendment No. 2, dated September 13, 2022, to Offer Letter between Ultragenyx Pharmaceutical Inc. and Thomas Kassberg | 10-Q | 11/3/2022 | 10.5 |
| 10.55# | Offer Letter, dated as of April 26, 2016, between Ultragenyx Pharmaceutical Inc. and Karah Parschauer | 10-Q | 8/9/2016 | 10.3 |
| 10.56# | Amendment, dated September 13, 2022, to Offer Letter between Ultragenyx Pharmaceutical Inc. and Karah Parschauer | 10-Q | 11/3/2022 | 10.6 |
| 10.57# | Offer Letter, dated as of February 20, 2015, between Ultragenyx Pharmaceutical Inc. and Dennis Huang | 10-K | 2/17/2017 | 10.36 |
| 10.58# | Amendment, dated September 13, 2022, to Offer Letter between Ultragenyx Pharmaceutical Inc. and Dennis Huang | 10-Q | 11/3/2022 | 10.7 |
| 10.59# | Offer Letter, dated as of June 11, 2015, between Ultragenyx Pharmaceutical Inc. and John R. Pinion II | 10-K | 2/17/2017 | 10.37 |
| 10.60# | Amendment, dated September 13, 2022, to Offer Letter between Ultragenyx Pharmaceutical Inc. and John R. Pinion II | 10-Q | 11/3/2022 | 10.9 |
| 10.61# | Amended and Restated Offer Letter, dated March 31, 2023, between Ultragenyx Pharmaceutical Inc. and Eric Crombez, M.D. | 10-Q | 5/4/2023 | 10.2 |
| 10.62# | Offer Letter, dated June 2, 2023, between Ultragenyx Pharmaceutical Inc. and Howard Horn | 8-K | 7/12/2023 | 10.1 |
| 10.63# | Amendment, dated September 6, 2023, to the Offer Letter between Ultragenyx Pharmaceutical Inc. and Howard Horn | 8-K | 9/8/2023 | 10.1 |
| 10.64# | Offer Letter, dated May 16, 2017, between Ultragenyx Pharmaceutical Inc. and Erik Harris | 10-Q | 8/2/2019 | 10.4 |
| 10.65# | Addendum #1, dated August 8, 2017, to Offer Letter dated May 16, 2017 between Ultragenyx Pharmaceutical Inc. and Erik Harris | 10-Q | 8/2/2019 | 10.5 |
| 10.66# | Addendum #2, dated June 19, 2019, to Offer Letter dated May 16, 2017 between Ultragenyx Pharmaceutical Inc. and Erik Harris | 10-Q | 8/2/2019 | 10.6 |
| 10.67# | Amendment No. 3, dated September 13, 2022, to Offer Letter between Ultragenyx Pharmaceutical Inc. and Erik Harris | 10-Q | 11/3/2022 | 10.8 |
| 10.68# | Form of Indemnification Agreement | 10-K | 3/24/2014 | 10.23 |
| 10.69 | Standard Lease, dated as of July 5, 2011, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | S-1 | 11/8/2013 | 10.22 |
| 10.70 | Addendum One to Standard Lease, dated as of July 5, 2011, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 10-K | 2/26/2016 | 10.34 |
| 10.71 | Addendum Two to Standard Lease, dated as of March 7, 2012, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 10-K | 2/26/2016 | 10.35 |
| 10.72 | Addendum #3 to Standard Lease, effective as of February 12, 2014, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 8-K | 2/25/2014 | 10.1 |
| 10.73 | Addendum #4 to Standard Lease, effective as of March 9, 2015, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 8-K | 3/13/2015 | 10.1 |
| 10.74 | Addendum #5 to Standard Lease, effective as of April 7, 2015, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 10-K | 2/26/2016 | 10.38 |
| 10.75 | Addendum #6 to Standard Lease, effective as of April 29, 2019, between Ultragenyx Pharmaceutical Inc. and Condiotti Enterprises, Inc. | 10-Q | 8/2/2019 | 10.3 |
| 10.76 | Lease Agreement, dated as of December 8, 2015, between Marina Boulevard Property, LLC and Ultragenyx Pharmaceutical Inc. | 10-K | 2/26/2016 | 10.43 |
| 10.77 | Lease Agreement, dated November 2, 2015, between Dimension Therapeutics, Inc. and ARE-MA Region No. 20, LLC, and Consent to Assignment to Ultragenyx Pharmaceutical Inc. | 10-K | 2/21/2018 | 10.66 |
| 10.78 | First Amendment to Lease Agreement, dated March 20, 2018, between Ultragenyx Pharmaceutical Inc. and ARE-MA Region No. 20, LLC | 10-Q | 5/8/2018 | 10.6 |
| 10.79 | Second Amendment to Lease Agreement, dated July 1, 2018, between Ultragenyx Pharmaceutical Inc. and ARE-MA Region No. 20, LLC | 10-Q | 8/3/2018 | 10.3 |
| 10.80 | Third Amendment to the Lease Agreement, dated July 29, 2019, between Ultragenyx Pharmaceutical Inc. and ARE-MA Region No., LLC. | 10-Q | 7/30/2020 | 10.2 |
| 10.81 | Amended and Restated Fourth Amendment, dated August 4, 2020, to the Lease Agreement between Ultragenyx Pharmaceutical Inc. and ARE-MA Region No., LLC. | 10-Q | 10/27/2020 | 10.5 |
| 10.82 | Lease Agreement, dated December 15, 2019, between Ultragenyx Pharmaceutical Inc. and ARE-San Francisco No. 17, LLC. | 10-K | 2/12/2021 | 10.81 |
| 10.83 | First Amendment, dated September 20, 2020, to the Lease Agreement between Ultragenyx Pharmaceutical Inc. and ARE-San Francisco No. 17, LLC. | 10-K | 2/12/2021 | 10.82 |
| 10.84 | Second Amendment, dated October 21, 2020, to the Lease Agreement between Ultragenyx Pharmaceutical Inc. and ARE-San Francisco No. 17, LLC. | 10-K | 2/12/2021 | 10.83 |
| 10.85 | Third Amendment, dated July 27, 2022, to the Lease Agreement between Ultragenyx Pharmaceutical Inc. and ARE-San Francisco No. 17, LLC | 10-K | 2/16/2023 | 10.92 |
| 10.86 | Office Lease, dated April 19, 2019, between Ultragenyx Pharmaceutical Inc. and Woburn MCB II, LLC | 10-K | 2/14/2020 | 10.70 | |
| 10.87 | Commercial Lease, dated July 2, 2018, between Ultragenyx Pharmaceutical Inc. and 32 Leveroni LLC | 10-K | 2/14/2020 | 10.71 | |
| 10.88 | Lease, dated August 18, 2022, between Ultragenyx Pharmaceutical Inc. and Brickbottom I QOZB L.P. | 10-K | 2/17/2023 | 10.95 | |
| 21.1 | Subsidiaries of Ultragenyx Pharmaceutical Inc. | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 24.1 | Power of Attorney (included on the signature page of this report) | ||||
| 31.1 | Certification of Principal Executive Officer of Ultragenyx Pharmaceutical Inc., as required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of Principal Financial Officer of Ultragenyx Pharmaceutical Inc., as required by Rule 13a-14(a) or Rule 15d-14(a) of the Exchange Act as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1§ | Certification by the Principal Executive Officer and Principal Financial Officer, as required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 36 of Title 18 of the United States Code (18 U.S.C. §1350) | X | |||
| 97.1 | Ultragenyx Pharmaceutical Inc. Clawback Policy | X | |||
| 101.INS | XBRL Instance Document, formatted in Inline XBRL | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | |||
| 104 | The cover page from this Annual Report on Form 10-K, formatted in Inline XBRL and contained in Exhibit 101 | X | |||
- Certain identified information has been omitted by means of marking such information with asterisks in reliance on Item 601(b)(10)(iv) of Regulation S-K because it is both (i) not material and (ii) the type that the registrant treats as private or confidential.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.