4//SEC Filing
Halak Brian K 4
Accession 0000904454-17-000741
CIK 0001399529other
Filed
Dec 19, 7:00 PM ET
Accepted
Dec 20, 4:51 PM ET
Size
16.7 KB
Accession
0000904454-17-000741
Insider Transaction Report
Form 4
DP VIII Associates, L.P.
10% Owner
Transactions
- Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total - Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying) - Award
Common Stock
2017-12-18+282→ 25,730 total
VITULLO NICOLE
10% Owner
Transactions
- Award
Common Stock
2017-12-18+282→ 25,730 total - Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total - Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying)
Halak Brian K
Director10% Owner
Transactions
- Award
Common Stock
2017-12-18+282→ 25,730 total - Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying) - Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total
BLAIR JAMES C
10% Owner
Transactions
- Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying) - Award
Common Stock
2017-12-18+282→ 25,730 total - Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total
DOVEY BRIAN H
10% Owner
Transactions
- Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying) - Award
Common Stock
2017-12-18+282→ 25,730 total - Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total
TREU JESSE I
10% Owner
Transactions
- Conversion
Common Stock
2017-12-18$3.19/sh+12,444$39,696→ 25,448 total - Award
Common Stock
2017-12-18+282→ 25,730 total - Conversion
Redeemable Convertible Preferred Stock
2017-12-18−368→ 0 totalExercise: $3.19→ Common Stock (12,444 underlying)
Footnotes (4)
- [F1]The Redeemable Convertible Preferred Stock was immediately convertible upon its purchase on 04/11/2017, subject to certain conditions. The Redeemable Convertible Preferred Stock had no expiration date.
- [F2]Each share of Redeemable Convertible Preferred Stock had a stated value of $100 (the "Stated Value") and accrued dividends daily at an initial rate of 12% per annum, which was reduced to 8% per annum on October 28, 2017 in accordance with the Certificate of Designations for the Redeemable Convertible Preferred Stock. The Stated Value, as adjusted to give effect to such dividends, was referred to as the "Accrued Value." Each share of Redeemable Convertible Preferred Stock was convertible, at the option of the holder or, upon the occurrence of certain events, at the option of the Issuer, and subject to certain conditions, into a number of shares of Common Stock determined by dividing the Accrued Value by the conversion price.
- [F3]The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VIII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- [F4]The Reporting Person received an additional 282 shares of Common Stock from the Issuer, representing the additional dividend accruals on the Redeemable Convertible Preferred Stock that the Reporting Person would have been entitled to receive up to and including March 31, 2018.
Documents
Issuer
Dicerna Pharmaceuticals Inc
CIK 0001399529
Entity typeother
Related Parties
1- filerCIK 0001354718
Filing Metadata
- Form type
- 4
- Filed
- Dec 19, 7:00 PM ET
- Accepted
- Dec 20, 4:51 PM ET
- Size
- 16.7 KB