SEC Form 4 · accession 0001562180-17-003892
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
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 4:36 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 StockF2 | Dec 13, 2017 | M | 5,000 | $0.986 | A | 18,662 | D | |
| Common StockF3 | Dec 13, 2017 | S | 5,000 | $27.5131 | D | 13,662 | D | |
| Common Stock | holding | — | — | — | 131,180 | 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)F4 | $0.986 | Dec 13, 2017 | M | 5,000 | D | — | Oct 3, 2021 | Common Stock | 5,000 | 174,642 | D |
Explanation of responses
- F1These trades were made pursuant to a Rule 10b5-1 trading plan.
- F2This share amount includes ESPP shares.
- F3This transaction was executed in multiple trades at prices ranging from $27.50 to $27.57. 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 option fully vested on 10/04/2015.