Filing Details
- Accession Number:
- 0000899243-20-004174
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-02-11 20:01:13
- Reporting Period:
- 2020-02-10
- Accepted Time:
- 2020-02-11 20:01:13
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1399529 | Dicerna Pharmaceuticals Inc | DRNA | Pharmaceutical Preparations (2834) | 205993609 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1598479 | D Bob Brown | C/O Dicerna Pharmaceuticals, Inc. 33 Hayden Avenue Lexington MA 02421 | See Remarks | No | Yes | 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 | 2020-02-10 | 5,650 | $3.42 | 10,650 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2020-02-10 | 2,535 | $3.42 | 13,185 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-02-10 | 8,185 | $21.00 | 5,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | Employee Stock Option (Right to Buy) | Disposition | 2020-02-10 | 5,650 | $0.00 | 5,650 | $3.42 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2020-02-10 | 2,535 | $0.00 | 2,535 | $3.42 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 81,850 | 2023-09-24 | No | 4 | M | Direct | |
| 99,124 | 2023-09-24 | No | 4 | M | Direct |
Footnotes
- The reporting person sold an aggregate of 8,185 shares of common stock on February 10, 2020 (the "Shares Sold") as reported in this Form 4. The Shares Sold represent 0.77% of 1,058,484 shares of common stock, which is the number of shares of common stock owned by the reporting person prior to the Shares Sold transaction reported in this Form 4, as well as shares issuable upon exercise or settlement of vested and unvested options and restricted stock units held by the reporting person as of the date of this report.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2019.
- The vesting of this option was subject to achievement of pre-established performance goals. As of the transaction date, the option was fully vested.
- The option vested 1/48 monthly on last day of each month with the vesting start date of 7/30/2013.
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