Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-056526
Date:2021-09-14
Issuer: DICE THERAPEUTICS, INC. (DICE)
Original Submission Date:

Reporting Person:

SCOPA JAMES PAUL
C/O DICE THERAPEUTICS, INC.
279 E. GRAND AVENUE, SUITE 300, LOBBY B SOUTH SAN FRANCISCO, CA 94080

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 2021-09-15 P 6,000 a $17.00 55,841 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
STOCK OPTION (RIGHT TO BUY) 17.0 2021-09-14 deemed execution date A 12,096 (a) 2031-09-14 common stock 12,096 $17.00 12,096 direct
STOCK OPTION (RIGHT TO BUY) 17.0 2021-09-14 deemed execution date A 8,261 (a) 2031-09-14 common stock 8,261 $17.00 8,261 direct
STOCK OPTION (RIGHT TO BUY) 17.0 2021-09-14 deemed execution date A 8,200 (a) 2031-09-14 common stock 8,200 $17.00 8,200 direct
STOCK OPTION (RIGHT TO BUY) 17.0 2021-09-14 deemed execution date A 5,600 (a) 2031-09-14 common stock 5,600 $17.00 5,600 direct
Footnotes
IDfootnote
f1 the number of shares of common stock reported in the reporting holder's form 3 reflected the conversion of derivative securities based on the midpoint of the issuer's initial public offering range of $16.00 per share. the number of shares of common stock reflected in this form 4 reflects the adjusted number of shares issued based on the higher initial public offering price of $17.00 per share, and does not reflect a disposition of shares.
f2 certain of the shares are subject to the issuer's right of repurchase if underlying vesting conditions are not met.
f3 the option vests as to 1/36th of the total shares monthly, beginning november 8, 2020, subject to the reporting holder's continued service to the registrant.
f4 the option vests as to 1/36th of the total shares monthly, beginning january 1, 2021, subject to the reporting holder's continued service to the registrant.
f5 the option vests as to 1/48th of the total shares monthly, beginning august 20, 2021, subject to the reporting holder's continued service to the registrant.
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