SEC Form 4 · accession 0001144204-18-056876
Dicerna Pharmaceuticals Inc · DRNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter Kolchinsky
Director
Period of report
Oct 30, 2018
Accepted (ET)
Nov 1, 2018 · 7:44 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,F2,F3 | Oct 30, 2018 | D | 250,000 | $13.8603 | D | 3,683,489 | I | See Note |
| Common StockF4,F5,F3 | Oct 31, 2018 | D | 178,400 | $13.4619 | D | 3,505,089 | I | See Note |
| Common StockF6,F7,F8,F3 | Nov 1, 2018 | D | 180,100 | $13.3757 | D | 3,324,989 | I | See Note |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities sold include (a) 219,072 shares of Common Stock by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 30,928 shares of Common Stock by a separately managed account (the "Account").
- F2This transaction was executed in multiple trades at prices ranging from $13.27 to $14.47; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F3RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser for the Account. Peter Kolchinsky is the sole manager of the Adviser. Dr. Kolchinsky disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a)(2) under the Exchange Act except to the extent of his pecuniary interest therein.
- F4The securities sold include (a) 156,330 shares of Common Stock by the Fund and (b) 22,070 shares of Common Stock by the Account.
- F5This transaction was executed in multiple trades at prices ranging from $13.02 to $14.01; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F6The securities sold include (a) 157,820 shares of Common Stock by the Fund and (b) 22,280 shares of Common Stock by the Account.
- F7This transaction was executed in multiple trades at prices ranging from $13.205 to $13.60; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- F8Following the reported transactions, the Fund held 2,913,506 shares and the Account held 411,483 shares.