SEC Form 4 · accession 0001093557-15-000109
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew K Balo
Officer — EVP, Clinical, Regulatory
Period of report
Apr 9, 2015
Accepted (ET)
Apr 10, 2015 · 7:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001093557
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Apr 9, 2015 | M | 7,500 | $9.80 | A | 187,241 | D | |
| Common StockF1,F2,F3 | Apr 9, 2015 | S | 7,500 | $64.5532 | D | 179,741 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Non-Qualified Stock Option (right to buy) | $9.80 | Apr 9, 2015 | M | 7,500 | D | Mar 12, 2011 | Mar 12, 2020 | Common Stock | 7,500 | 35,573 | D |
Explanation of responses
- F1On November 24, 2014, Mr. Balo adopted a 10b5-1 Plan. This 10b5-1 Plan allows the orderly disposition of shares owned by Mr. Balo. The shares set forth above were sold pursuant to the 10b5-1 Plan.
- F2This transaction was executed in multiple trades at prices ranging from $63.95 to $64.86. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.
- F3Included in this number are 97,500 unvested restricted stock units, 47,500 of which were granted on March 8, 2015 and shall vest through March 8, 2018, 33,333 of which were granted on March 8, 2014 and shall vest through March 8, 2017, and 16,667 of which were granted on March 11, 2013 and shall vest through March 11, 2016.