SEC Form 4 · accession 0001093557-15-000361
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Lister
Officer — Sr. VP, General Counsel
Period of report
Nov 9, 2015
Accepted (ET)
Nov 12, 2015 · 5:45 pm EST
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 StockF1,F2,F3 | Nov 9, 2015 | S | 2,475 | $83.8262 | D | 107,306 | D | |
| Common Stock | Nov 10, 2015 | M | 17,500 | $9.80 | A | 124,806 | D | |
| Common StockF4,F3 | Nov 10, 2015 | S | 17,500 | $84.1435 | D | 107,306 | 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 | Nov 10, 2015 | M | 17,500 | D | Mar 12, 2011 | Mar 12, 2020 | Common Stock | 17,500 | 18,288 | D |
Explanation of responses
- F1On December 5, 2014, Mr. Lister adopted a 10b5-1 Plan. This 10b5-1 Plan allows the orderly disposition of shares owned by Mr. Lister. The shares set forth above were sold pursuant to the 10b5-1 Plan.
- F2This transaction was executed in multiple trades at prices ranging from $83.09 to $84.61. 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 75,834 unvested restricted stock units 37,500 of which were granted on March 8, 2015 and shall vest through March 8, 2018, 32,500 of which were granted on March 8, 2014 and shall vest through March 8, 2017, and 5,834 of which were granted on March 11, 2013 and shall vest through March 11, 2016.
- F4This transaction was executed in multiple trades at prices ranging from $83.99 to $84.80. 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.