SEC Form 4 · accession 0001093557-19-000077
DEXCOM INC · DXCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Heather S Ace
Officer — SVP Human Resources
Period of report
Mar 11, 2019
Accepted (ET)
Mar 13, 2019 · 7:00 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 StockF1,F2,F3 | Mar 11, 2019 | S | 2,641 | $142.5976 | D | 74,154 | D | |
| Common StockF1,F4,F3 | Mar 11, 2019 | S | 1,927 | $143.5538 | D | 72,227 | D | |
| Common StockF1,F3 | Mar 11, 2019 | S | 100 | $144.09 | D | 72,127 | D | |
| Common StockF5,F3 | Mar 12, 2019 | S | 1,293 | $142.7922 | D | 70,834 | D | |
| Common StockF5,F3 | Mar 12, 2019 | S | 4,500 | $142.7922 | D | 66,334 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On August 30, 2018, Ms. Ace adopted a 10b5-1 Plan. This 10b5-1 Plan allows the orderly disposition of shares owned by Ms. Ace. The shares set forth above were sold pursuant to the 10b5-1 Plan.
- F2This transaction was executed in multiple trades at prices ranging from $142.03 to $143.00. 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 52,820 unvested restricted stock units, 11,714 of which were granted on March 8, 2019 and shall vest through March 8, 2022, 20,062 of which were granted on March 8, 2018 and shall vest through March 8, 2021, 7,294 of which were granted on March 8, 2017 and shall vest through March 8, 2020 and 13,750 of which were granted on August 22, 2016 and shall vest through August 22, 2020.
- F4This transaction was executed in multiple trades at prices ranging from $143.03 to $144.00. 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.
- F5Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.