0000950123-20-006737.txt : 20200706 0000950123-20-006737.hdr.sgml : 20200706 20200706210132 ACCESSION NUMBER: 0000950123-20-006737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200701 FILED AS OF DATE: 20200706 DATE AS OF CHANGE: 20200706 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brown Bob D CENTRAL INDEX KEY: 0001598479 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36281 FILM NUMBER: 201015043 MAIL ADDRESS: STREET 1: 87 CAMBRIDGEPARK DRIVE CITY: CAMBRIDGE STATE: MA ZIP: 02140 FORMER NAME: FORMER CONFORMED NAME: Brown Bob DATE OF NAME CHANGE: 20140129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Dicerna Pharmaceuticals Inc CENTRAL INDEX KEY: 0001399529 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205993609 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 33 HAYDEN AVENUE CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 617 621 8097 MAIL ADDRESS: STREET 1: 33 HAYDEN AVENUE CITY: LEXINGTON STATE: MA ZIP: 02421 4 1 doc4.xml PRIMARY DOCUMENT X0306 4 2020-07-01 0 0001399529 Dicerna Pharmaceuticals Inc DRNA 0001598479 Brown Bob D C/O DICERNA PHARMACEUTICALS, INC. 33 HAYDEN AVENUE LEXINGTON MA 02421 0 1 0 0 See Remarks Common Stock 2020-07-01 4 M 0 8185 3.42 A 13185 D Common Stock 2020-07-01 4 S 0 5814 26.3604 D 7371 D Common Stock 2020-07-01 4 S 0 2371 26.8533 D 5000 D Employee Stock Option (Right to Buy) 3.42 2020-07-01 4 M 0 8185 0.00 D 2023-09-24 Common Stock 8185 40925 D The Reporting Person sold an aggregate of 8,185 shares of common stock on July 1, 2020 (the "Shares Sold") as reported in this Form 4. The Shares Sold represent 0.83% of 981,327 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. 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. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $25.70 to $26.68, inclusive. The Reporting Person undertakes to provide to Dicerna Pharmaceuticals, Inc., any security holder of Dicerna Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4. The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $26.73 to $26.97, inclusive. The Reporting Person undertakes to provide to Dicerna Pharmaceuticals, Inc., any security holder of Dicerna Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (4) to this Form 4. The vesting of these options was subject to achievement of pre-established performance goals. As of the transaction date, the options were fully vested. Chief Scientific Officer, EVP of R&D /s/ Douglas W. Pagan, attorney-in-fact 2020-07-06