Filing Details
- Accession Number:
- 0001140361-14-037655
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-08 16:18:03
- Reporting Period:
- 2014-10-08
- Filing Date:
- 2014-10-08
- Accepted Time:
- 2014-10-08 16:18:03
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1557883 | Dermira Inc. | DERM | Pharmaceutical Preparations (2834) | 273267680 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1014095 | B Fred Craves | C/O Dermira, Inc. 2055 Woodside Road Redwood City CA 94061 | Yes | No | No | 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 | 2014-10-08 | 3,356,337 | $0.00 | 3,373,255 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2014-10-08 | 67,820 | $16.00 | 3,441,075 | No | 4 | P | Indirect | See footnote |
Common Stock | Acquisiton | 2014-10-08 | 63,958 | $0.00 | 64,280 | No | 4 | C | Indirect | See footnote |
Common Stock | Acquisiton | 2014-10-08 | 1,292 | $16.00 | 65,572 | No | 4 | P | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | See footnote |
No | 4 | P | 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 | 2014-10-08 | 2,337,590 | $0.00 | 2,337,590 | $0.00 |
Common Stock | Series A Preferred Stock | Disposition | 2014-10-08 | 44,545 | $0.00 | 44,545 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-10-08 | 643,066 | $0.00 | 643,066 | $0.00 |
Common Stock | Series B Preferred Stock | Disposition | 2014-10-08 | 12,254 | $0.00 | 12,254 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2014-10-08 | 375,681 | $0.00 | 375,681 | $0.00 |
Common Stock | Series C Preferred Stock | Disposition | 2014-10-08 | 7,159 | $0.00 | 7,159 | $0.00 |
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 | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect | ||
0 | No | 4 | C | Indirect |
Footnotes
- In connection with the consummation of the Issuer's initial public offering on October 8, 2014, each share of Preferred Stock automatically converted into one (1) share of Common Stock for no additional consideration. All shares of Common Stock issued upon conversion were aggregated.
- The securities are held directly by Bay City Capital Fund V, L.P. ("Fund V"). Dr. Craves disclaims beneficial ownership over the securities owned by Fund V, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any, in the securities by virtue of the limited liability company interests he owns in Bay City Capital LLC, which is the manager of Fund V's general partner, Bay City Capital Management V LLC.
- The securities are held directly by Bay City Capital Fund V Co-Investment Fund, L.P. ("Co-Investment V"). Dr. Craves disclaims beneficial ownership over the securities owned by Co-Investment V, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any, in the securities by virtue of the limited liability company interests he owns in Bay City Capital LLC, which is the manager of Co-Investment V's general partner, Bay City Capital Management V LLC.
- None.