Picozza Enrico 4
4 · DermTech, Inc. · Filed May 29, 2020
Insider Transaction Report
Form 4
DermTech, Inc.DMTK
Picozza Enrico
Director
Transactions
- Conversion
Series B-1 Convertible Preferred Stock
2020-05-27−114.248→ 0 total(indirect: By HLM Venture Partners IV, L.P.)→ Common Stock (114,249 underlying) - Conversion
Common Stock
2020-05-27+114,249→ 805,862 total(indirect: By HLM Venture Partners IV, L.P.)
Holdings
- 6,000
Common Stock
Footnotes (2)
- [F1]The 114.2481 shares of Series B-1 Convertible Preferred Stock ("Series B-1 Stock") reported herein were acquired on March 4, 2020 pursuant to the Issuer's Private Placement (the "Private Placement") consisting of 2,467,724 shares of common stock at a price of $10.50 per share and approximately 3,199 and 524 shares of Series B-1 Stock and Series B-2 Convertible Preferred Stock, respectively, each at a price of $10,500.00 per share. Each share of Series B-1 Stock was automatically convertible into 1,000 shares of the Issuer's common stock on the first trading day following the approval of the Private Placement by the stockholders of the Issuer ("Stockholder Approval"). Stockholder Approval was obtained on May 26, 2020 and accordingly the 114.2481 shares of Series B-1 Stock automatically converted into 114,249 shares of common stock on May 27, 2020.
- [F2]The reporting person has a pecuniary interest in HLM Venture Associates IV, LLC ("HLM GP"). HLM GP is the general partner of HLM Venture Partners IV, L.P., which owns the reported securities. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.