Filing Details
- Accession Number:
- 0001399529-21-000120
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-17 21:18:54
- Reporting Period:
- 2021-06-15
- Accepted Time:
- 2021-06-17 21:18:54
- 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 |
|---|---|---|---|---|---|---|---|
| 1813985 | M. Regina Paglia | C/O Dicerna Pharmaceuticals, Inc. 75 Hayden Avenue Lexington MA 02421 | Chief Human Resources Officer | 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 | 2021-06-15 | 381 | $0.00 | 381 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-15 | 112 | $35.74 | 269 | No | 4 | F | Direct | |
| Common Stock | Acquisiton | 2021-06-16 | 20,000 | $12.93 | 20,269 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-16 | 10,000 | $22.58 | 30,269 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-16 | 1,564 | $26.62 | 31,833 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-16 | 31,464 | $35.63 | 369 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2021-06-16 | 100 | $36.15 | 269 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | F | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | 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 Units | Disposition | 2021-06-15 | 381 | $0.00 | 381 | $0.00 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-06-16 | 20,000 | $0.00 | 20,000 | $12.93 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-06-16 | 10,000 | $0.00 | 10,000 | $22.58 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-06-16 | 1,564 | $0.00 | 1,564 | $26.62 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,144 | No | 4 | M | Direct | ||
| 103,414 | 2029-02-28 | No | 4 | M | Direct | |
| 52,500 | 2030-01-07 | No | 4 | M | Direct | |
| 5,261 | 2030-06-30 | No | 4 | M | Direct |
Footnotes
- Each restricted stock unit ("RSU") represents the contingent right to receive one share of the Issuer's Common Stock.
- Represents the number of shares of the Issuer's Common Stock withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.
- The Reporting Person sold an aggregate of 31,564 shares of Common Stock on June 16, 2021 (the "Shares Sold") as reported in this Form 4. The Shares Sold represent 11.35% of 278,052 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.
- Represents RSUs that vest over a period of four years, with 25% of the RSUs vesting on each of the first, second, third and fourth anniversaries of June 15, 2020, subject in each case to the Reporting Person's continued employment or service with the Issuer on each applicable vesting date.
- The option vested 25% on the first year anniversary of the vesting start date of February 19, 2019 and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject in each case to the Reporting Person's continued service with the Issuer through each applicable vesting date.
- The option vests in 48 substantially equal monthly installments, with the first installment vesting on the last day of January 2020, and the remaining vesting on the last day of each of the 47 months thereafter; subject in each case to the Reporting Person's continued service with the Issuer through each applicable vesting date.
- The option vests in 48 substantially equal monthly installments, with the first installment vesting on the last day of July 2020, and the remaining shares vesting on the last day of each of the 47 months thereafter; subject in each case to the Reporting Person's continued service with the Issuer through the applicable vesting date.
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