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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Oliviero James F III C/O KERYX BIOPHARMACEUTICALS, INC. 750 LEXINGTON AVENUE NEW YORK, NY 10022 |
Chief Financial Officer |
/s/ James F. Oliviero, III | 12/31/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Sale of a total of 79,500 shares of common stock was made in order to satisfy Mr. Oliviero's income tax withholding obligation upon the vesting of 150,000 shares of restricted stock on a corporate milestone. Such sale was transacted in accordance with the Issuer's corporate policies regarding the vesting of restricted stock. |
(2) | Reflects the weighted average sale price. The range of prices for such transaction is $12.65 to $12.82. |
(3) | Includes 296,537 shares of restricted stock. |
(4) | Reflects the weighted average sale price. The range of prices for such transaction is $12.60 to $12.72. |
(5) | Reflects the exercise and sale of 30,000 stock options which were due to expire on January 2, 2014 (10 years following their grant date). |
(6) | Reflects the weighted average sale price. The range of prices for such transaction is $12.60 to $12.74. |
(7) | Following the transactions reported on this Form 4, Mr. Oliviero holds 476,429 shares of Keryx common stock (of which 296,537 are restricted shares) and 327,616 stock options. |