Filing Details

Accession Number:
0001104659-14-006842
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-02-05 18:21:44
Reporting Period:
2014-02-04
Filing Date:
2014-02-05
Accepted Time:
2014-02-05 18:21:44
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1399529 Dicerna Pharmaceuticals Inc DRNA Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1190418 J Stephen Hoffman 525 University Avenue
Palo Alto CA 94301
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-02-04 312,000 $0.00 312,000 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-02-04 179,322 $0.00 491,322 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-02-04 1,043,429 $0.00 1,534,751 No 4 C Indirect See Footnote
Common Stock Acquisiton 2014-02-04 200,000 $15.00 1,734,751 No 4 P Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 C Indirect See Footnote
No 4 P Indirect See Footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2014-02-04 312,000 $0.00 312,000 $0.00
Common Stock Series B Preferred Stock Disposition 2014-02-04 179,322 $0.00 179,322 $0.00
Common Stock Series C Preferred Stock Disposition 2014-02-04 1,043,429 $0.00 1,043,429 $0.00
Common Stock Common Stock Warrant Acquisiton 2014-02-04 755 $0.00 755 $250.00
Common Stock Series C Preferred Stock Warrants Disposition 2014-02-04 21,697 $0.00 21,697 $7.00
Common Stock Common Stock Warrant (right to buy) Acquisiton 2014-02-04 21,697 $0.00 21,697 $7.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
755 No 4 C Indirect
0 No 4 C Indirect
21,697 No 4 C Indirect
Footnotes
  1. Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into one share of the Issuer's Common Stock and will automatically convert into one share of the Issuer's Common Stock upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
  2. These securities are held by Skyline Ventures Partners V, L.P. ("Skyline V"). Skyline Venture Management V, LLC serves as the sole general partner of Skyline V. The reporting person is a non-managing member of Skyline Venture Management V, LLC. The reporting person disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein.
  3. Warrants will expire June 17, 2020.
  4. Warrants will expire June 17, 2020.