SEC Form 4 · accession 0001093557-16-000644
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew K Balo
Officer — EVP, Clinical and Regulatory
Period of report
Aug 10, 2016
Accepted (ET)
Aug 12, 2016 · 7:10 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 | Aug 10, 2016 | M | 5,000 | $3.19 | A | 134,979 | D | |
| Common StockF1,F2 | Aug 10, 2016 | S | 5,000 | $90.26 | D | 129,979 | 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) | $3.19 | Aug 10, 2016 | M | 5,000 | D | Dec 11, 2009 | Dec 11, 2018 | Common Stock | 5,000 | 9,999 | D |
Explanation of responses
- F1On December 11, 2015, 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.
- F2Included in this number are 86,333 unvested restricted stock units, 38,000 of which were granted on March 8, 2016 and shall vest through March 8, 2019, 31,666 of which were granted on March 8, 2015 and shall vest through March 8, 2018 and 16,667 of which were granted on March 8, 2014 and shall vest through March 8, 2017.