Form Type: 4

SEC EDGAR Link
Accession Number:0001399529-21-000120
Date:2021-06-15
Issuer: DICERNA PHARMACEUTICALS INC (DRNA)
Original Submission Date:

Reporting Person:

PAGLIA REGINA M.
C/O DICERNA PHARMACEUTICALS, INC.
75 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 2021-06-15 M 381 a $0.00 381 direct
COMMON STOCK 2021-06-15 F 112 d $35.74 269 direct
COMMON STOCK 2021-06-16 M 20,000 a $12.93 20,269 direct
COMMON STOCK 2021-06-16 M 10,000 a $22.58 30,269 direct
COMMON STOCK 2021-06-16 M 1,564 a $26.62 31,833 direct
COMMON STOCK 2021-06-16 S 31,464 d $35.63 369 direct
COMMON STOCK 2021-06-16 S 100 d $36.15 269 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
RESTRICTED STOCK UNITS 0.0 2021-06-15 deemed execution date M 381 (d) common stock 381 $0.00 1,144 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 12.93 2021-06-16 deemed execution date M 20,000 (d) 2029-02-28 common stock 20,000 $12.93 103,414 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 22.58 2021-06-16 deemed execution date M 10,000 (d) 2030-01-07 common stock 10,000 $22.58 52,500 direct
EMPLOYEE STOCK OPTION (RIGHT TO BUY) 26.62 2021-06-16 deemed execution date M 1,564 (d) 2030-06-30 common stock 1,564 $26.62 5,261 direct
Footnotes
IDfootnote
f1 each restricted stock unit ("rsu") represents the contingent right to receive one share of the issuer's common stock.
f2 represents the number of shares of the issuer's common stock withheld by the issuer to cover tax withholding obligations in connection with the vesting of rsus.
f3 the reporting person sold an aggregate of 31,564 shares of common stock on june 16, 2021 (the "shares sold") as reported in this form 4. the shares sold represent 11.35% of 278,052 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.
f4 represents rsus that vest over a period of four years, with 25% of the rsus vesting on each of the first, second, third and fourth anniversaries of june 15, 2020, subject in each case to the reporting person's continued employment or service with the issuer on each applicable vesting date.
f5 the option vested 25% on the first year anniversary of the vesting start date of february 19, 2019 and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject in each case to the reporting person's continued service with the issuer through each applicable vesting date.
f6 the option vests in 48 substantially equal monthly installments, with the first installment vesting on the last day of january 2020, and the remaining vesting on the last day of each of the 47 months thereafter; subject in each case to the reporting person's continued service with the issuer through each applicable vesting date.
f7 the option vests in 48 substantially equal monthly installments, with the first installment vesting on the last day of july 2020, and the remaining shares vesting on the last day of each of the 47 months thereafter; subject in each case to the reporting person's continued service with the issuer through the applicable vesting date.
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