SEC Form 4 · accession 0000905148-18-000758
Dicerna Pharmaceuticals Inc · DRNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James B Weissman
Officer — Chief Business Officer
Period of report
Sep 5, 2018
Accepted (ET)
Sep 6, 2018 · 2:21 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 Stock | Sep 5, 2018 | M | 2,301 | $3.42 | A | 26,781 | D | |
| Common Stock | Sep 5, 2018 | S | 2,301 | $17.50 | D | 24,480 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $3.42 | Sep 5, 2018 | M | 2,301 | D | — | Sep 24, 2023 | Common Stock | 2,301 | 47,699 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 5, 2018.
- F2The vesting of this option is subject to achievement of pre-established performance goals. As of the transaction date, 50% of the option (representing 30,000 shares) was vested.