SEC Form 4 · accession 0001562180-17-002676
Dermira, Inc. · DERM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Fred B Craves
Director · 10% Owner
Period of report
Aug 10, 2017
Accepted (ET)
Aug 14, 2017 · 8:56 pm EDT
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 | Aug 10, 2017 | P | 20,000 | $22.5735 | A | 20,000 | I | Fred Craves Family Foundation |
| Common StockF1 | Aug 14, 2017 | P | 10,000 | $23.946 | A | 30,000 | I | Fred Craves Family Foundation |
| Common StockF2 | holding | — | — | — | 3,441,075 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 65,572 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Dr. Craves serves as the chief executive officer of the Fred Craves Family Foundation (the "Foundation"). Dr. Craves does not have a pecuniary interest in the shares held by the Foundation and disclaims beneficial ownership over such shares. This report shall not be deemed an admission that the reporting person is the beneficial owner of such shares.
- F2The securities are held directly by Bay City Capital Fund V, L.P. ("Fund V"). Dr. Craves disclaims beneficial ownership over the securities owned by Fund V, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any, in the securities by virtue of the limited liability company interests he owns in Bay City Capital LLC, which is the manager of Fund V's general partner, Bay City Capital Management V LLC.
- F3The securities are held directly by Bay City Capital Fund V Co-Investment Fund, L.P. ("Co-Investment V"). Dr. Craves disclaims beneficial ownership over the securities owned by Co-Investment V, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such shares, except to the extent of his pecuniary interest, if any, in the securities by virtue of the limited liability company interests he owns in Bay City Capital LLC, which is the manager of Co-Investment V's general partner, Bay City Capital Management V LLC.