SEC Form 4 · accession 0000904454-18-000422
Dicerna Pharmaceuticals Inc · DRNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian K Halak
Director
Period of report
Jun 7, 2018
Accepted (ET)
Jun 11, 2018 · 4:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001399529
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jun 7, 2018 | M | 21,041 | $7.00 | A | 3,490,070 | I | By Domain Partners VIII, L.P. |
| Common StockF1 | Jun 7, 2018 | M | 156 | $7.00 | A | 25,886 | I | By DP VIII Associates, L.P. |
| Common StockF1 | Jun 7, 2018 | F | 10,195 | $14.45 | D | 3,479,875 | I | By Domain Partners VIII, L.P. |
| Common StockF1 | Jun 7, 2018 | F | 76 | $14.45 | D | 25,810 | I | By DP VIII Associates, L.P. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant to Purchase Common StockF1 | $7.00 | Jun 7, 2018 | M | 21,041 | D | Jan 29, 2014 | Jun 26, 2018 | Common Stock | 21,041 | 0 | I |
| Warrant to Purchase Common StockF1 | $7.00 | Jun 7, 2018 | M | 156 | D | Jan 29, 2014 | Jun 26, 2018 | Common Stock | 156 | 0 | I |
Explanation of responses
- F1The Reporting Person is a Managing Member of One Palmer Square Associates VIII, LLC, which is the sole general partner of Domain Partners VIII, L.P. and DP VIII Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities beneficially owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.