Hale David F's Form 4 filing
Dermata Therapeutics, Inc. (DRMA) · filed Aug 17, 2021
- Accession no.
- 0000905718-21-001110
- Filed
- Aug 17, 2021
- Trade date
- Aug 17, 2021
- Filing delay
- Same day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 8 derivative transactions. It was filed on the trade date.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Hale David FCIK 0001024004 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 17, 2021 | Common Stock | CConversionAcquired | +44,777 | –F1 | – | 299,411 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionAcquired | +12,195 | –F2 | – | 311,606 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionAcquired | +20,000 | –F3 | – | 331,606 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionAcquired | +174,216 | –F4 | – | 505,822 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionAcquired | +27,103 | –F5 | – | 532,925 | Indirect | |
| Aug 17, 2021 | Common Stock | PPurchaseAcquired | +35,714 | –F8 | – | 35,714 | Indirect |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 17, 2021 | Common Stock | CConversionDisposed | −44,777 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionDisposed | −12,195 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionDisposed | −20,000 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionDisposed | −174,216 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionDisposed | −27,103 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionDisposed | −3,048 | $0.00 | $0 | 0 | Indirect | |
| Aug 17, 2021 | Common Stock | CConversionAcquired | +3,048 | $0.00 | $0 | 3,048 | Indirect | |
| Aug 17, 2021 | Common Stock | PPurchaseAcquired | +35,714 | –F8 | – | 35,714 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The Series 1d Preferred Stock automatically converted into Common Stock of the Issuer upon consummation of the Issuer's initial public offering (the "IPO"). The Series 1d Preferred Stock was convertible at any time and had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F2
The Series 1a Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1a Preferred Stock was convertible at any time and had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F3
The Series 1b Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1b Preferred Stock was convertible at any time and had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F4
The Series 1c Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1c Preferred Stock was convertible at any time and had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F5
The Series 1 Preferred Stock converted into Common Stock of the Issuer upon consummation of the IPO. The Series 1 Preferred Stock was convertible at any time and had no expiration date.
Referenced by the price of 1 transaction in Table I.
- F8
Reporting Person purchased 35,714 Units in the IPO at $7.00 per Unit. Each Unit consists of one share of Common Stock and one warrant to purchase one share of Common Stock.
Referenced by the price of 1 transaction in Table I and 1 transaction in Table II.