SEC Form 4 · accession 0001562180-17-001175
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 3, 2017
Accepted (ET)
Mar 7, 2017 · 4:10 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 3, 2017 | M | 4,000 | $0.986 | A | 10,468 | D | |
| Common StockF2,F3 | Mar 3, 2017 | S | 4,000 | $37.6039 | D | 6,468 | D | |
| Common StockF4 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F5 | $0.986 | Mar 3, 2017 | M | 4,000 | D | — | Oct 3, 2021 | Common Stock | 4,000 | 225,642 | 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 $37.53 to $37.68. 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.
- F4The Reporting Person is a Co-Trustee.
- F5This option fully vested on 10/04/2015.