Initial Statement of Beneficial Ownership (3)

Date : 11/13/2019 @ 10:35PM
Source : Edgar (US Regulatory)
Stock : Dermira Inc (DERM)
Quote : 7.88  -0.01 (-0.13%) @ 5:00AM
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Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Aurora Daljit Singh
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/11/2019 

3. Issuer Name and Ticker or Trading Symbol

Dermira, Inc. [DERM]
(Last)        (First)        (Middle)

C/O DERMIRA, INC., 275 MIDDLEFIELD ROAD, SUITE 150
4. 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 /
(Street)

MENLO PARK, CA 94025      

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed(MM/DD/YYYY)
 

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 Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 30089.00 (1)D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (3) (2)Common Stock 574.00  (2)D  
Restricted Stock Unit  (4) (2)Common Stock 6250.00  (2)D  
Restricted Stock Unit  (5) (2)Common Stock 708.00  (2)D  
Restricted Stock Unit  (5) (2)Common Stock 2814.00  (2)D  
Restricted Stock Unit  (6) (2)Common Stock 22500.00  (2)D  
Restricted Stock Unit  (7) (2)Common Stock 10000.00  (2)D  
Stock Options (Right to buy)  (8)2/16/2027 Common Stock 11500.00 $33.84 D  
Stock Options (Right to buy)  (9)8/7/2026 Common Stock 67500.00 $31.36 D  
Stock Options (Right to buy)  (10)2/14/2028 Common Stock 7040.00 $28.25 D  
Stock Options (Right to buy)  (10)2/14/2028 Common Stock 28130.00 $28.25 D  
Stock Options (Right to buy)  (11)2/10/2029 Common Stock 50000.00 $6.97 D  

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.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Aurora Daljit Singh
C/O DERMIRA, INC.
275 MIDDLEFIELD ROAD, SUITE 150
MENLO PARK, CA 94025


Chief Scientific Affairs Off

Signatures
/s/ Valerie Barnett as attorney-in-fact11/13/2019
**Signature of Reporting PersonDate

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