SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Brown Bob D

(Last) (First) (Middle)
C/O DICERNA PHARMACEUTICALS, INC.
75 HAYDEN AVENUE

(Street)
LEXINGTON MA 02421

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Dicerna Pharmaceuticals Inc [ DRNA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Scientific Ofr., EVP R&D
3. Date of Earliest Transaction (Month/Day/Year)
02/03/2021
4. If Amendment, Date of Original Filed (Month/Day/Year)
02/04/2021
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/03/2021 M 3,066(1) A $3.42(1) 24,583(1) D
Common Stock 02/03/2021 M 5,246(1) A $2.97(1) 29,829 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $3.42(1) 02/03/2021 M 3,066(1) (1)(2) 09/24/2023(1) Common Stock 3,066(1) $0 74,808(1) D
Employee Stock Option (Right to Buy) $2.97(1) 02/03/2021 M 5,246(1) (1)(3) 01/03/2027(1) Common Stock 5,246(1) $0 0(1) D
Explanation of Responses:
1. The Reporting Person's original Form 4 as filed with the Securities and Exchange Commission on February 4, 2021 (the "Original Form 4") is hereby amended to reflect the correct option grants from which the shares were exercised. The aggregate total number of shares exercised (8,312 shares) was correctly reported in the Original Form 4. Except as noted in this amended Form 4, all other information disclosed in the Original Form 4 was accurately reported and remains unchanged.
2. As of the transaction date, the option was fully vested. The option vested 1/48 monthly on the last day of each month with the vesting start date of 7/30/2013.
3. The option vests in 48 monthly installments over the four-year period starting on the last day of January 2017, subject in each case to the Reporting Person's continued service with the Issuer through the applicable vesting date.
Remarks:
/s/ Douglas W. Pagan, attorney-in-fact 04/05/2021
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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