Filing Details
- Accession Number:
- 0001144204-14-006215
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-05 17:30:13
- Reporting Period:
- 2014-02-04
- Filing Date:
- 2014-02-05
- Accepted Time:
- 2014-02-05 17:30:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1399529 | Dicerna Pharmaceuticals Inc | DRNA | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1315082 | Ra Capital Healthcare Fund Lp | 20 Park Plaza, Suite 1200 Boston MA 02116 | No | No | Yes | No | |
1346824 | Ra Capital Management, Llc | 20 Park Plaza, Suite 1200 Boston MA 02116 | No | No | Yes | Yes | |
1384859 | Peter Kolchinsky | 20 Park Plaza, Suite 1200 Boston MA 02116 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2014-02-04 | 1,428,571 | $0.00 | 1,428,571 | No | 4 | C | Indirect | See Footnotes |
Common Stock, Par Value $0.0001 Per Share | Acquisiton | 2014-02-04 | 1,000,000 | $15.00 | 2,428,571 | No | 4 | P | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnotes |
No | 4 | P | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series C Preferred Stock, par value $0.0001 | Disposition | 2014-02-04 | 1,428,571 | $0.00 | 1,428,571 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct |
Footnotes
- These shares include 1,428,571 of Common Stock that were converted from Series C Preferred Shares held by RA Capital Healthcare Fund, L.P. (the "Fund"). The Series C Preferred Shares converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering of Common Stock.
- The securities purchased include 827,500 shares for RA Capital Healthcare Fund, L.P. (the "Fund") and 172,500 shares for an account owned by Blackwell Partners, LLC (the "Blackwell Account").
- Following the transactions set forth on Table I above, 2,256,071 shares are held by the Fund, and 172,500 shares are held in the Blackwell Account.
- RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Blackwell Account. Peter Kolchinsky is the sole manager of the Adviser. In their respective capacities, each of Mr. Kolchinsky and the Adviser may be deemed to beneficially own the reported securities. In addition, Mr. Kolchinsky is a director of the Issuer.
- Pursuant to Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of their respective pecuniary interests therein. The filing of this Form 4 shall not be construed as an admission that Mr. Kolchinsky or the Adviser is or was for the purposes of Section 16(a) of the Act, or otherwise, the beneficial owner of any of securities reported herein.