SEC Form 4 · accession 0000908662-15-000213
DYAX CORP · DYAX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Kempner
Director
Period of report
May 18, 2015
Accepted (ET)
May 19, 2015 · 4:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000907562
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | May 18, 2015 | M | 27,000 | $4.41 | A | 55,041 | D | |
| Common StockF1 | holding | — | — | — | 20,000 | I | By Loeb Investors Co. IX | |
| Common StockF2 | holding | — | — | — | 617,120 | I | By Loeb Holding Corporation | |
| Common StockF3 | holding | — | — | — | 1,074,651 | I | By Trust | |
| Common Stock | holding | — | — | — | 5,021 | I | By Spouse |
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)F4 | $4.41 | May 18, 2015 | M | 27,000 | D | — | May 19, 2015 | Common Stock | 27,000 | 0 | D |
Explanation of responses
- F1The reporting person is the Managing Partner of Loeb Investors Co. IX. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F2The reporting person is the Chairman, Chief Executive Officer, and also beneficial owner of a majority of the voting stock of Loeb Holding Corporation. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F3Shares held in trust, of which the reporting person is the trustee, for the benefit of the reporting person's brother's children, the reporting person's children, the reporting person's sister-in-law, and the reporting person.
- F4The option became fully exercisable on May 15, 2008.