SEC Form 4 · accession 0001562180-18-003668
Dermira, Inc. · DERM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Eugene A Bauer
Officer — Chief Medical Officer · Director
Period of report
Aug 15, 2018
Accepted (ET)
Aug 17, 2018 · 4:05 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 15, 2018 | M | 950 | $0.00 | A | 4,769 | D | |
| Common Stock | Aug 15, 2018 | M | 2,437 | $0.00 | A | 7,206 | D | |
| Common Stock | Aug 15, 2018 | M | 2,625 | $0.00 | A | 9,831 | D | |
| Common Stock | Aug 15, 2018 | F | 329 | $9.58 | D | 9,502 | D | |
| Common Stock | Aug 15, 2018 | F | 843 | $9.58 | D | 8,659 | D | |
| Common Stock | Aug 15, 2018 | F | 908 | $9.58 | D | 7,751 | D | |
| Common StockF2 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F4 | — | Aug 15, 2018 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
| Restricted Stock UnitF3,F5 | — | Aug 15, 2018 | M | 950 | D | — | — | Common Stock | 950 | 8,550 | D |
| Restricted Stock UnitF3,F6 | — | Aug 15, 2018 | M | 2,437 | D | — | — | Common Stock | 2,437 | 4,875 | D |
| Restricted Stock UnitF3,F7 | — | Aug 15, 2018 | M | 2,625 | D | — | — | Common Stock | 2,625 | 2,625 | D |
Explanation of responses
- F1These shares include prior ESPP purchases.
- F2The Reporting Person is a Co-Trustee.
- F3Each RSU represents a contingent right to receive one share of DERM common stock.
- F4Vests as to 50% of the shares on each of May 17, 2019 and May 17, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
- F5Vested as to 10% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019, August 15, 2020 and August 15, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
- F6Vested as to 10% of the shares on August 15, 2017 and 30% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
- F7Vested as to 10% of the shares on August 15, 2016 and 30% of the shares on each of August 15, 2017 and August 15, 2018. The remaining 30% of the shares will vest on August 15, 2019, subject to the Reporting Person's continuous status as a service provider on the vesting date.