SEC Form 4 · accession 0001209191-17-059625
Dimension Therapeutics, Inc. · DMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $7.08 | Nov 7, 2017 | D | 32,069 | D | — | May 18, 2026 | Common Stock | 32,069 | 0 | D |
| Stock Option (Right to Buy)F2 | $1.15 | Nov 7, 2017 | D | 17,000 | D | — | May 24, 2027 | Common Stock | 17,000 | 0 | D |
Explanation of responses
- F1These 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.
- F2These 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.
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.