SEC Form 4 · accession 0001562180-17-000186
Dermira, Inc. · DERM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas G Wiggans
Officer — CEO & Chairman of the Board · Director
Period of report
Jan 3, 2017
Accepted (ET)
Jan 5, 2017 · 4:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001557883
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 3, 2017 | M | 5,000 | $0.986 | A | 11,468 | D | |
| Common StockF2,F3 | Jan 3, 2017 | S | 5,000 | $30.1924 | D | 6,468 | D | |
| Common Stock | Jan 4, 2017 | M | 3,000 | $0.986 | A | 9,468 | D | |
| Common StockF4,F3 | Jan 4, 2017 | S | 3,000 | $32.5144 | D | 6,468 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F5 | $0.986 | Jan 3, 2017 | M | 5,000 | A | — | Oct 3, 2021 | Common Stock | 5,000 | 248,642 | D |
| Stock Options (Right to buy)F5 | $0.986 | Jan 4, 2017 | M | 3,000 | A | — | Oct 3, 2021 | Common Stock | 3,000 | 245,642 | D |
Explanation of responses
- F1These trades were made pursuant to a Rule 10b5-1 trading plan.
- F2This transaction was executed in multiple trades at prices ranging from $29.85 to $30.78. The price reported above reflects the weighted average 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 transaction was effected.
- F3These shares include prior ESPP purchases.
- F4This transaction was executed in multiple trades at prices ranging from $32.50 to $32.55. The price reported above reflects the weighted average 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 transaction was effected.
- F51/48th of the shares underlying the option vest each month from the vesting commencement date of 10/04/2011, subject to the reporting person's continuous status as a Service Provider on the applicable vesting date.