Form 4 for DRMA Dermata Therapeutics, Inc.
Accepted 2021-08-17 00:00:00 ET · period of report 2021-08-17 · accession 0000905718-21-001110 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-08-17 | 2021-08-17 | DRMA | HALE DAVID F | Dir, 10% | C - Cnv Deriv | — | +278.3K | 331.6K | +522% | — |
| DI | 2021-08-17 | 2021-08-17 | DRMA | HALE DAVID F | Dir, 10% | P - Purchase | — | +35.7K | 35.7K | New | — |
| DMI | 2021-08-17 | 2021-08-17 | DRMA | HALE DAVID F | Dir, 10% | C - Cnv Deriv | $0.00 | -5.15M | 0 | -100% | $0 |
| DI | 2021-08-17 | 2021-08-17 | DRMA | HALE DAVID F | Dir, 10% | P - Purchase | — | +35.7K | 35.7K | New | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-08-17 | C | A | 44,777 | — | 299,411 | I By Hale BioVentures LLC | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 2 | Common | Common Stock | 2021-08-17 | C | A | 12,195 | — | 311,606 | I By Hale BioVentures LLC | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 3 | Common | Common Stock | 2021-08-17 | P | A | 35,714 | — | 35,714 | I By Hale Family Trust | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 4 | Common | Common Stock | 2021-08-17 | C | A | 174,216 | — | 505,822 | I By Hale BioVentures LLC | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 5 | Common | Common Stock | 2021-08-17 | C | A | 27,103 | — | 532,925 | I By Hale BioVentures LLC | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 6 | Common | Common Stock | 2021-08-17 | C | A | 20,000 | — | 331,606 | I By Hale BioVentures LLC | — | — | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 7 | Derivative | Series 1d Preferred Stock | 2021-08-17 | C | D | 302,112 | $0.00 | 0 | I By Hale BioVentures LLC | — · — to — | 44,777 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (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. |
| 8 | Derivative | Series 1a Preferred Stock | 2021-08-17 | C | D | 250,000 | $0.00 | 0 | I By Hale BioVentures LLC | — · — to — | 12,195 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (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. |
| 9 | Derivative | Series 1b Preferred Stock | 2021-08-17 | C | D | 410,000 | $0.00 | 0 | I By Hale BioVentures LLC | — · — to — | 20,000 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (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. |
| 10 | Derivative | Series 1c Preferred Stock | 2021-08-17 | C | D | 3,571,428 | $0.00 | 0 | I By Hale BioVentures LLC | — · — to — | 174,216 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (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. |
| 11 | Derivative | Warrant to Purchase Common Stock | 2021-08-17 | P | A | 35,714 | — | 35,714 | I By Hale Family Trust | $7.00 · 2021-08-17 to 2026-08-17 | 35,714 Common Stock | (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. (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 12 | Derivative | Series 1a Warrants | 2021-08-17 | C | D | 62,500 | $0.00 | 0 | I By Hale BioVentures LLC | — · 2016-11-15 to 2026-03-14 | 3,048 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (F6) The Series 1a Preferred Warrants converted into warrants to purchase Common Stock in connection with the IPO. |
| 13 | Derivative | Warrant to Purchase Common Stock | 2021-08-17 | C | A | 3,048 | $0.00 | 3,048 | I By Hale BioVentures LLC | $20.50 · 2016-11-15 to 2026-03-14 | 3,048 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. |
| 14 | Derivative | Series 1 Preferred Stock | 2021-08-17 | C | D | 555,622 | $0.00 | 0 | I By Hale BioVentures LLC | — · — to — | 27,103 Common Stock | (F7) Reporting Person disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. (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. |