Statement of Changes in Beneficial Ownership (4)
November 22 2021 - 4:38PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Brown Bob D |
2. Issuer Name and Ticker or Trading Symbol
Dicerna Pharmaceuticals Inc
[
DRNA
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Scientific Ofr., EVP R&D |
(Last)
(First)
(Middle)
C/O DICERNA PHARMACEUTICALS, INC., 75 HAYDEN AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/18/2021 |
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 11/18/2021 | | M | | 24936 | A | $3.42 | 25203 | D | |
Common Stock | 11/18/2021 | | S(1)(2) | | 24936 (1) | D | $37.94 | 267 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | $3.42 | 11/18/2021 | | M | | | 24936 | (3) | 9/24/2023 | Common Stock | 24936.0 | $0 | 0 | D | |
Explanation of Responses: |
(1) | The Reporting Person sold an aggregate of 24,936 shares of Common Stock on November 18, 2021 (the "Shares Sold") as reported in this Form 4. The Shares Sold represent 2.88% of 865,703 shares of Common Stock, which is the number of shares of Common Stock owned by the Reporting Person prior to the Shares Sold 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. |
(2) | 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. |
(3) | As of the transaction date, the option was fully vested. The option vested 1/48 monthly on the last day of each month with the vesting start date of 7/30/2013. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brown Bob D C/O DICERNA PHARMACEUTICALS, INC. 75 HAYDEN AVENUE LEXINGTON, MA 02421 |
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| Chief Scientific Ofr., EVP R&D |
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Signatures
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/s/ Douglas W. Pagan, attorney-in-fact | | 11/22/2021 |
**Signature of Reporting Person | Date |
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