SEC Form 4 · accession 0001562180-17-001069
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
Mar 1, 2017
Accepted (ET)
Mar 2, 2017 · 7:12 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 | Mar 1, 2017 | M | 11,000 | $0.986 | A | 17,468 | D | |
| Common StockF2 | Mar 1, 2017 | S | 5,800 | $32.9909 | D | 11,668 | D | |
| Common StockF3 | Mar 1, 2017 | S | 4,328 | $33.9146 | D | 7,340 | D | |
| Common StockF4 | Mar 1, 2017 | S | 600 | $35.0783 | D | 6,740 | D | |
| Common StockF5,F6 | Mar 1, 2017 | S | 272 | $35.9143 | 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)F7 | $0.986 | Mar 1, 2017 | M | 11,000 | A | — | Oct 3, 2021 | Common Stock | 11,000 | 229,642 | 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 $32.50 to $33.48. 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.
- F3This transaction was executed in multiple trades at prices ranging from $33.51 to $34.49. 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.
- F4This transaction was executed in multiple trades at prices ranging from $34.55 to $35.53. 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.
- F5This transaction was executed in multiple trades at prices ranging from $35.69 to $36.00. 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.
- F6These shares include prior ESPP purchases.
- F7This option fully vested on 10/04/2015.