Filing Details
- Accession Number:
- 0001562180-19-004393
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2019-08-19 21:53:00
- Reporting Period:
- 2019-08-15
- Accepted Time:
- 2019-08-19 21:53:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1620548 | C. Luis Pena | C/O Dermira, Inc. 275 Middlefield Road, Suite 150 Menlo Park CA 94025 | Chief Development Officer | No | 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 | 2019-08-15 | 3,189 | $0.00 | 35,893 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-08-15 | 3,000 | $0.00 | 38,893 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2019-08-15 | 2,438 | $0.00 | 41,331 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-08-15 | 1,209 | $7.91 | 40,122 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2019-08-15 | 1,488 | $7.91 | 38,634 | No | 4 | F | Direct | |
| Common Stock | Disposition | 2019-08-15 | 1,582 | $7.91 | 37,052 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2019-08-19 | 3,576 | $0.99 | 40,628 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2019-08-19 | 23,419 | $8.54 | 17,209 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Restricted Stock Unit | Disposition | 2019-08-15 | 2,438 | $0.00 | 2,438 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2019-08-15 | 3,189 | $0.00 | 3,189 | $0.00 |
| Common Stock | Restricted Stock Unit | Disposition | 2019-08-15 | 3,000 | $0.00 | 3,000 | $0.00 |
| Common Stock | Employee Stock Options (Right to buy) | Disposition | 2019-08-19 | 3,576 | $0.00 | 3,576 | $0.99 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,437 | No | 4 | M | Direct | ||
| 6,378 | No | 4 | M | Direct | ||
| 0 | No | 4 | M | Direct | ||
| 88,251 | 2021-10-03 | No | 4 | M | Direct |
Footnotes
- These shares include prior ESPP purchases.
- Shares sold to Tom Wiggans in a private sale transaction.
- Each RSU represents a contingent right to receive one share of DERM common stock.
- Vested as to 10% of the shares on August 15, 2017 and 30% of the shares on each of August 15, 2018 and August 15, 2019. The remaining 30% of the shares will ves on August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
- Vested as to 10% of the shares on August 15, 2018 and 30% of the shares on August 15, 2019. 30% of the shares will vest on each of August 15, 2020 and August 15, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
- Fully vested August 15, 2019.
- This option fully vested October 4, 2015.
Billionaire Hedge Funds
