SEC Form 4 · accession 0001562180-18-000591
Dermira, Inc. · DERM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugene A Bauer
Officer — Chief Medical Officer · Director
Period of report
Feb 1, 2018
Accepted (ET)
Feb 2, 2018 · 4:46 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 | Feb 1, 2018 | M | 3,000 | $1.218 | A | 5,802 | D | |
| Common StockF2,F3 | Feb 1, 2018 | S | 3,000 | $28.5473 | D | 2,802 | D | |
| Common StockF4 | holding | — | — | — | 26,978 | I | By the Bauer Family 1995 Trust |
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)F5 | $1.218 | Feb 1, 2018 | M | 3,000 | D | — | Jan 3, 2023 | Common Stock | 3,000 | 11,972 | 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 $28.26 to $28.97. 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 1/4/2017.