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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (3) | 08/15/2018 | M | 950 | (4) | (4) | Common Stock | 950 | $ 0 | 8,550 | D | ||||
Restricted Stock Unit | (3) | 08/15/2018 | M | 2,437 | (5) | (5) | Common Stock | 2,437 | $ 0 | 4,875 | D | ||||
Restricted Stock Unit | (3) | 08/15/2018 | M | 2,625 | (6) | (6) | Common Stock | 2,625 | $ 0 | 2,625 | D | ||||
Restricted Stock Unit | (7) | (7) | (7) | Common Stock | 0 | 0 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BAUER EUGENE A C/O DERMIRA, INC. 275 MIDDLEFIELD ROAD, SUITE 150 MENLO PARK, CA 94025 |
Chief Medical Officer |
/s/ Christine Ring as attorney-in-fact | 09/11/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These shares include prior ESPP purchases. |
(2) | The Reporting Person is a Co-Trustee. |
(3) | Each RSU represents a contingent right to receive one share of DERM common stock. |
(4) | Vested 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. |
(5) | Vested 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. |
(6) | Vested 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. |
(7) | Due to an administrative error, a grant of 50,000 restricted stock units to the Reporting Person on August 15, 2018 was erroneously reported on a Form 4 filed on August 16, 2018. The Reporting Person did not receive an equity grant on August 15, 2018. |