Sec Form 3 Filing - Aurora Daljit Singh @ Dermira, Inc. - 2019-11-11

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Aurora Daljit Singh
2. Issuer Name and Ticker or Trading Symbol
Dermira, Inc. [ DERM]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Chief Scientific Affairs Off
(Last) (First) (Middle)
C/O DERMIRA, INC., 275 MIDDLEFIELD ROAD, SUITE 150
3. Date of Earliest Transaction (MM/DD/YY)
11/11/2019
(Street)
MENLO PARK, CA94025
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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 30,089 ( 1 ) 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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: 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
Restricted Stock Unit ( 2 ) ( 3 ) ( 2 ) Common Stock 574 D
Restricted Stock Unit ( 2 ) ( 4 ) ( 2 ) Common Stock 6,250 D
Restricted Stock Unit ( 2 ) ( 5 ) ( 2 ) Common Stock 708 D
Restricted Stock Unit ( 2 ) ( 5 ) ( 2 ) Common Stock 2,814 D
Restricted Stock Unit ( 2 ) ( 6 ) ( 2 ) Common Stock 22,500 D
Restricted Stock Unit ( 2 ) ( 7 ) ( 2 ) Common Stock 10,000 D
Stock Options (Right to buy) $ 33.84 ( 8 ) 02/16/2027 Common Stock 11,500 D
Stock Options (Right to buy) $ 31.36 ( 9 ) 08/07/2026 Common Stock 67,500 D
Stock Options (Right to buy) $ 28.25 ( 10 ) 02/14/2028 Common Stock 7,040 D
Stock Options (Right to buy) $ 28.25 ( 10 ) 02/14/2028 Common Stock 28,130 D
Stock Options (Right to buy) $ 6.97 ( 11 ) 02/10/2029 Common Stock 50,000 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Aurora Daljit Singh
C/O DERMIRA, INC.
275 MIDDLEFIELD ROAD, SUITE 150
MENLO PARK, CA94025
Chief Scientific Affairs Off
Signatures
/s/ Valerie Barnett as attorney-in-fact 11/13/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares include prior ESPP purchases.
( 2 )Each RSU represents a contingent right to receive one share of DERM common stock.
( 3 )Vested as to 10% of the shares on August 15, 2017 and 30% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
( 4 )Vested as to 25% of the shares on August 15, 2017 and 25% of the shares on August 15, 2018. 25% of the shares will vest on each of August 15, 2019 and August 15, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
( 5 )Vested as to 10% of the shares on August 15, 2018. 30% of the shares will vest on each of August 15, 2019, August 15, 2020 and August 15, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
( 6 )Vests as to 50% of the shares on each of May 17, 2019 and May 17, 2020, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
( 7 )Vests as to 50% of the shares on each of March 5, 2020 and March 5, 2021, subject to the Reporting Person's continuous status as a service provider on the applicable vesting date.
( 8 )The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on February 1, 2017, subject to the continuing employment of the Reporting person on the applicable vesting date.
( 9 )25% of the total shares underlying the option vested and became exercisable on July 18, 2017 and 1/48 of the total shares underlying the option vest and become exercisable each month thereafter, subject to the continuing employment of the Reporting person on the applicable vesting date.
( 10 )The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on February 1, 2018, subject to the continuing employment of the Reporting person on the applicable vesting date.
( 11 )The stock option vests and becomes exercisable as to 1/48th of the shares in equal monthly installments with the first 1/48th of the shares vesting on February 1, 2019, subject to the continuing employment of the Reporting person on the applicable vesting date.

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