Statement of Changes in Beneficial Ownership (4)
2017年11月8日 - 7:07AM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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
*
Dybbs Michael
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2. Issuer Name
and
Ticker or Trading Symbol
Dimension Therapeutics, Inc.
[
DMTX
]
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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 DIMENSION THERAPEUTICS, INC., 840 MEMORIAL DRIVE, 4TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/7/2017
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(Street)
CAMBRIDGE, MA 02139
(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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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$7.08
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11/7/2017
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D
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32069
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(1)
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5/18/2026
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Common Stock
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32069
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(1)
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0
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D
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Stock Option (Right to Buy)
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$1.15
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11/7/2017
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D
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17000
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(2)
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5/24/2027
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Common Stock
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17000
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(2)
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0
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D
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Explanation of Responses:
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(1)
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These options were assumed by Ultragenyx Pharmaceutical Inc. ("Ultragenyx"), and converted in accordance with the exchange ratio as set forth in the Agreement and Plan of Merger (the "Merger Agreement"), dated October 2, 2017, between the Issuer, Ultragenyx and Mystic River Merger Sub Inc., a direct, wholly-owned subsidiary of Ultragenyx.
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(2)
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These options, which vest in full on the earlier of May 25, 2018 or the Issuer's next annual meeting of stockholders, subject to the director's continued service on the Board, were assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.
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Remarks:
The Reporting Person previously reported an indirect interest in shares held directly by New Leaf Ventures III, L.P. ("NLV-III") and New Leaf Growth Fund I, L.P. ("NLGF"), with respect to which the Reporting Person disclaimed Section 16 beneficial ownership except to the extent of his/her pecuniary interest therein, if any. New Leaf Venture Associates III, L.P. ("NLVA-III") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III") is the general partner of NLVA-III. New Leaf Growth Associates I, L.P. ("NLGA") is the general partner of NLGF and NLVM-III is the general partner of NLGA. Reporting Person was employed by New Leaf Venture Partners, L.L.C. ("NLVP"), which is affiliated with the above entities. In 2016, the Reporting Person separated from NLVP and is no longer affiliated with either NLV-III or NLGF and accordingly is no longer reporting any indirect interest in the shares held directly by either NLV-III or NLGF.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Dybbs Michael
C/O DIMENSION THERAPEUTICS, INC.
840 MEMORIAL DRIVE, 4TH FLOOR
CAMBRIDGE, MA 02139
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X
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Signatures
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/s/ Mary Thistle, as Attorney-in-Fact for Michael Dybbs
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11/7/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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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).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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DIMENSION THERAPEUTICS, INC. (NASDAQ:DMTX)
過去 株価チャート
から 10 2024 まで 11 2024
DIMENSION THERAPEUTICS, INC. (NASDAQ:DMTX)
過去 株価チャート
から 11 2023 まで 11 2024
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