SEC Form 4 · accession 0001209191-17-059629
Dimension Therapeutics, Inc. · DMTX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Annalisa Jenkins
Officer — President and CEO · Director
Period of report
Nov 7, 2017
Accepted (ET)
Nov 7, 2017 · 5:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001592288
Table I — non-derivative securities
No Table I lines on this filing.
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 | $0.56 | Nov 7, 2017 | D | 481,696 | D | — | Sep 24, 2024 | Common Stock | 481,696 | 0 | D |
| Stock Option (Right to Buy)F2 | $3.57 | Nov 7, 2017 | D | 74,375 | D | — | Apr 28, 2025 | Common Stock | 74,375 | 0 | D |
| Stock Option (Right to Buy)F3 | $4.09 | Nov 7, 2017 | D | 342,113 | D | — | Jun 2, 2025 | Common Stock | 342,113 | 0 | D |
| Stock Option (Right to Buy)F4 | $7.14 | Nov 7, 2017 | D | 160,000 | D | — | Jan 31, 2026 | Common Stock | 160,000 | 0 | D |
| Stock Option (Right to Buy)F5 | $1.90 | Nov 7, 2017 | D | 192,000 | D | — | Jan 31, 2027 | Common Stock | 192,000 | 0 | D |
| Stock Option (Right to Buy)F6 | $1.35 | Nov 7, 2017 | D | 150,000 | D | — | Jul 2, 2027 | Common Stock | 150,000 | 0 | D |
Explanation of responses
- F1This stock option, which vests over four years beginning September 23, 2014, at a rate of 25% after 12 months, and in 36 equal monthly installments thereafter, was 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.
- F2This stock option, which vests over four years beginning September 23, 2014, at a rate of 25% after 12 months, and in 36 equal monthly installments thereafter, was assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.
- F3This stock option, which vests over four years beginning June 3, 2015, at a rate of 6.25% on September 23, 2015, and in 45 equal monthly installments thereafter, was assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.
- F4This stock option, which vests in 48 equal monthly installments beginning January 28, 2016, was assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.
- F5This stock option, which vests in 48 equal monthly installments beginning January 18, 2017, was assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.
- F6This option, which vests on December 31, 2018, subject to the Reporting Person's continued service to the Issuer on such date, was assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.