SEC Form 4 · accession 0001562180-18-001051
Dermira, Inc. · DERM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Luis C. Pena
Officer — Chief Development Officer
Period of report
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 5:40 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 StockF1 | holding | — | — | — | 9,504 | D |
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)F2 | $28.25 | Feb 15, 2018 | A | 63,750 | A | — | Feb 15, 2028 | Common Stock | 63,750 | 63,750 | D |
| Restricted Stock UnitF3,F4 | — | Feb 15, 2018 | A | 10,630 | A | — | — | Common Stock | 10,630 | 10,630 | D |
Explanation of responses
- F1These shares include prior ESPP purchases.
- F2The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on January 1, 2018, subject to the continuing employment of the Reporting person on the applicable vesting date.
- F3Each RSU represents a contingent right to receive one share of DERM common stock.
- F4Vests as to 10% of the shares on August 15, 2018, 30% on August 15, 2019, 30% on August 15, 2020, 30% on August 15,2021, subject to the continuing employment of the Reporting Person on each vesting date.