SEC Form 4 · accession 0001093557-17-000012
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jorge A Valdes
Officer — CTO
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 7:37 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 13, 2017 | M | 8,927 | $9.80 | A | 81,261 | D | |
| Common StockF1,F2 | Jan 13, 2017 | S | 8,927 | $80.00 | D | 72,334 | D | |
| Common Stock | Jan 13, 2017 | M | 10,000 | $7.63 | A | 82,334 | D | |
| Common StockF1,F2 | Jan 13, 2017 | S | 10,000 | $80.00 | D | 72,334 | D | |
| Common Stock | Jan 13, 2017 | M | 7,173 | $9.80 | A | 79,507 | D | |
| Common StockF1,F2 | Jan 13, 2017 | S | 7,173 | $80.00 | D | 72,334 | D | |
| Common StockF3 | holding | — | — | — | 3,499 | I | by Trust |
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) | $7.63 | Jan 13, 2017 | M | 10,000 | D | May 19, 2009 | May 19, 2018 | Common Stock | 10,000 | 0 | D |
| Incentive Stock Option (right to buy) | $9.80 | Jan 13, 2017 | M | 8,927 | D | Mar 12, 2011 | Mar 12, 2020 | Common Stock | 8,927 | 0 | D |
| Non-Qualified Stock Option (right to buy) | $9.80 | Jan 13, 2017 | M | 7,173 | D | Mar 12, 2011 | Mar 12, 2020 | Common Stock | 7,173 | 20,900 | D |
Explanation of responses
- F1On November 4, 2016 Mr. Valdes adopted a 10b5-1 Plan. This 10b5-1 Plan allows the orderly disposition of shares owned by Mr. Valdes. The shares set forth above were sold pursuant to the 10b5-1 Plan.
- F2Included in this number are 72,334 unvested restricted stock units, 38,000 of which were granted on March 8, 2016 and shall vest through March 8, 2019, 22,500 of which were granted on March 8, 2015 and shall vest through March 8, 2018 and 11,834 of which were granted on March 8, 2014 and shall vest through March 8, 2017.
- F3Shares are held by the Valdes-Lopez-Calleja Family Trust U/A/D 05/18/2011, with respect to which the reporting person is a trustee.