Filing Details
- Accession Number:
- 0001181431-14-034012
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-10-08 16:36:39
- Reporting Period:
- 2014-10-08
- Filing Date:
- 2014-10-08
- Accepted Time:
- 2014-10-08 16:36:39
- 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 |
|---|---|---|---|---|---|---|---|
| 1219855 | James M Barrett | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | No | 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 | 2014-10-08 | 3,416,569 | $0.00 | 3,433,810 | No | 4 | C | Indirect | See Note 2 |
| Common Stock | Acquisiton | 2014-10-08 | 69,112 | $16.00 | 3,502,922 | No | 4 | P | Indirect | See Note 2 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Note 2 |
| No | 4 | P | Indirect | See Note 2 |
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 | 2,378,408 | $0.00 | 2,378,408 | $0.00 |
| Common Stock | Series B Preferred Stock | Disposition | 2014-10-08 | 655,321 | $0.00 | 655,321 | $0.00 |
| Common Stock | Series C Preferred Stock | Disposition | 2014-10-08 | 382,840 | $0.00 | 382,840 | $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 |
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 Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
- None.
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