Form Type: 4

SEC EDGAR Link
Accession Number:0000899243-20-004174
Date:2020-02-10
Issuer: DICERNA PHARMACEUTICALS INC (DRNA)
Original Submission Date:

Reporting Person:

BROWN BOB D
C/O DICERNA PHARMACEUTICALS, INC.
33 HAYDEN AVENUE LEXINGTON, MA 02421

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-02-10 M 5,650 a $3.42 10,650 direct
COMMON STOCK 2020-02-10 M 2,535 a $3.42 13,185 direct
COMMON STOCK 2020-02-10 S 8,185 d $21.00 5,000 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 3.42 2020-02-10 deemed execution date M 5,650 (d) 2023-09-24 common stock 5,650 $3.42 81,850 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 3.42 2020-02-10 deemed execution date M 2,535 (d) 2023-09-24 common stock 2,535 $3.42 99,124 direct
Footnotes
IDfootnote
f1 the reporting person sold an aggregate of 8,185 shares of common stock on february 10, 2020 (the "shares sold") as reported in this form 4. the shares sold represent 0.77% of 1,058,484 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.
f2 the sales reported in this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person on november 27, 2019.
f3 the vesting of this option was subject to achievement of pre-established performance goals. as of the transaction date, the option was fully vested.
f4 the option vested 1/48 monthly on last day of each month with the vesting start date of 7/30/2013.
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