Filing Details
- Accession Number:
- 0001399529-21-000116
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-15 19:19:11
- Reporting Period:
- 2021-06-11
- Accepted Time:
- 2021-06-15 19:19:11
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1399529 | Dicerna Pharmaceuticals Inc | DRNA | Pharmaceutical Preparations (2834) | 205993609 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1778786 | D. Robert Ciappenelli | C/O Dicerna Pharmaceuticals, Inc. 75 Hayden Avenue Lexington MA 02421 | Chief Commercial Officer | No | Yes | No | 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 | 2021-06-11 | 10,000 | $15.61 | 13,773 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-11 | 10,000 | $35.00 | 3,773 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-06-14 | 20,000 | $15.61 | 23,773 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-14 | 20,000 | $38.00 | 3,773 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-06-11 | 10,000 | $0.00 | 10,000 | $15.61 |
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2021-06-14 | 20,000 | $0.00 | 20,000 | $15.61 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 290,000 | 2029-06-30 | No | 4 | M | Direct | |
| 270,000 | 2029-06-30 | No | 4 | M | Direct |
Footnotes
- The Reporting Person sold an aggregate of 10,000 shares of Common Stock on June 11, 2021 (the "Shares Sold No. 1") as reported in this Form 4. The Shares Sold No. 1 represent 2.08% of 481,298 shares of Common Stock, which is the number of shares of Common Stock owned by the Reporting Person prior to the Shares Sold No. 1 transaction reported in this Form 4, as well as shares issuable upon exercise or settlement of vested and unvested options and restricted stock units held by the Reporting Person as of the date of this report.
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2020.
- The Reporting Person sold an aggregate of 20,000 shares of Common Stock on June 14, 2021 (the "Shares Sold No. 2") as reported in this Form 4. The Shares Sold No. 2 represent 4.24% of 471,298 shares of Common Stock, which is the number of shares of Common Stock owned by the Reporting Person prior to the Shares Sold No. 2 transaction reported in this Form 4, as well as shares issuable upon exercise or settlement of vested and unvested options and restricted stock units held by the Reporting Person as of the date of this report.
- The option vests 25% on the first year anniversary of the vesting start date of June 3, 2019 and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject in each case to the Reporting Person's continued employment or service with the Issuer through the applicable vesting date.
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