SEC Form 4 · accession 0001562180-17-000856
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
Feb 17, 2017
Accepted (ET)
Feb 22, 2017 · 4:25 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 StockF1 | holding | — | — | — | 6,468 | D | ||
| Common StockF2 | holding | — | — | — | 134,180 | I | By the Wiggans Living Trust dated 5/14/02 |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to buy)F3 | $33.84 | Feb 17, 2017 | A | 180,000 | A | — | Feb 16, 2027 | Common Stock | 180,000 | 180,000 | D |
| Restricted Stock UnitF4,F5 | — | Feb 17, 2017 | A | 30,000 | A | — | — | Common Stock | 30,000 | 30,000 | D |
Explanation of responses
- F1These shares include prior ESPP purchases.
- F2The Reporting Person is a Co-Trustee.
- F3The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on February 1, 2017, subject to the continuing employment of the Reporting person on the applicable vesting date.
- F4Each RSU represents a contingent right to receive one share of DERM common stock.
- F5Vests as to 10% of the shares on August 15, 2017, 30% on August 15, 2018, 30% on August 15, 2019, 30% on August 15,2020, subject to the continuing employment of the Reporting Person on each vesting date.