Filing Details
- Accession Number:
- 0001104659-14-006842
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-05 18:21:44
- Reporting Period:
- 2014-02-04
- Filing Date:
- 2014-02-05
- Accepted Time:
- 2014-02-05 18:21:44
- 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 |
---|---|---|---|---|---|---|---|
1190418 | J Stephen Hoffman | 525 University Avenue Palo Alto CA 94301 | 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 | Acquisiton | 2014-02-04 | 312,000 | $0.00 | 312,000 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2014-02-04 | 179,322 | $0.00 | 491,322 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2014-02-04 | 1,043,429 | $0.00 | 1,534,751 | No | 4 | C | Indirect | See Footnote |
Common Stock | Acquisiton | 2014-02-04 | 200,000 | $15.00 | 1,734,751 | No | 4 | P | Indirect | See Footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | C | Indirect | See Footnote |
No | 4 | P | Indirect | See Footnote |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Preferred Stock | Disposition | 2014-02-04 | 312,000 | $0.00 | 312,000 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-02-04 | 179,322 | $0.00 | 179,322 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2014-02-04 | 1,043,429 | $0.00 | 1,043,429 | $0.00 |
Common Stock | Common Stock Warrant | Acquisiton | 2014-02-04 | 755 | $0.00 | 755 | $250.00 |
Common Stock | Series C Preferred Stock Warrants | Disposition | 2014-02-04 | 21,697 | $0.00 | 21,697 | $7.00 |
Common Stock | Common Stock Warrant (right to buy) | Acquisiton | 2014-02-04 | 21,697 | $0.00 | 21,697 | $7.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
755 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
21,697 | No | 4 | C | Indirect |
Footnotes
- Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into one share of the Issuer's Common Stock and will automatically convert into one share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
- These securities are held by Skyline Ventures Partners V, L.P. ("Skyline V"). Skyline Venture Management V, LLC serves as the sole general partner of Skyline V. The reporting person is a non-managing member of Skyline Venture Management V, LLC. The reporting person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein.
- Warrants will expire June 17, 2020.
- Warrants will expire June 17, 2020.