SEC Form 4 · accession 0001093557-17-000007
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Lister
Officer — General Manager, EMEA
Period of report
Jan 9, 2017
Accepted (ET)
Jan 11, 2017 · 7:33 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 Stock | Jan 9, 2017 | M | 3,000 | $8.85 | A | 73,598 | D | |
| Common StockF1,F2,F3 | Jan 9, 2017 | S | 3,000 | $63.0153 | D | 70,598 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock Option (right to buy) | $8.85 | Jan 9, 2017 | M | 3,000 | D | Jan 14, 2009 | Jan 14, 2018 | Common Stock | 3,000 | 31,939 | D |
Explanation of responses
- F1On December 13, 2016, 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 $62.50 to $63.67. 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 61,584 unvested restricted stock units, 32,000 of which were granted on June 30, 2016 and shall vest through March 8, 2019, 18,750 of which were granted on March 8, 2015 and shall vest through March 8, 2018 and 10,834 of which were granted on March 8, 2014 and shall vest through March 8, 2017.