0001093557-21-000223.txt : 20210913 0001093557-21-000223.hdr.sgml : 20210913 20210913201916 ACCESSION NUMBER: 0001093557-21-000223 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210909 FILED AS OF DATE: 20210913 DATE AS OF CHANGE: 20210913 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Balo Andrew K CENTRAL INDEX KEY: 0001323190 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51222 FILM NUMBER: 211250968 MAIL ADDRESS: STREET 1: C/O DEXCOM, INC. STREET 2: 5555 OBERLIN DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DEXCOM INC CENTRAL INDEX KEY: 0001093557 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 330857544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6340 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8582000200 MAIL ADDRESS: STREET 1: 6340 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 4 1 edgardoc.xml PRIMARY DOCUMENT X0306 4 2021-09-09 0 0001093557 DEXCOM INC DXCM 0001323190 Balo Andrew K 6340 SEQUENCE DRIVE SAN DIEGO CA 92121 0 1 0 0 * Common Stock 2021-09-09 5 J 0 2498 0.0 D 14056 D Common Stock 2021-09-09 5 J 0 2498 0.0 A 13150 I by Trust Common Stock 2021-09-09 4 S 0 1248 541.36 D 11902 I by Trust Common Stock 2021-09-09 4 S 0 15 541.76 D 11887 I by Trust Common Stock 2021-09-09 4 S 0 273 541.327 D 11614 I by Trust Common Stock 2021-09-09 4 S 0 200 542.83 D 11414 I by Trust Common Stock 2021-09-09 4 S 0 50 543.66 D 11364 I by Trust Common Stock 2021-09-09 4 S 0 550 547.3462 D 10814 I by Trust Common Stock 2021-09-09 4 S 0 750 548.2381 D 10064 I by Trust Common Stock 2021-09-09 4 S 0 1261 549.4345 D 8803 I by Trust Common Stock 2021-09-09 4 S 0 1200 550.3612 D 7603 I by Trust Common Stock 2021-09-09 4 S 0 50 551.45 D 7553 I by Trust Shares were transferred from direct ownership to ownership under the Balo Family Trust upon vesting of previously awarded restricted stock units. Included in this number are 13,673 unvested restricted stock units, 5,301 of which were granted on March 8, 2021 and shall vest through March 8, 2024, 5,874 of which were granted on March 8, 2020 and shall vest through March 8, 2023, and 2,498 of which were granted on March 8, 2019 and shall vest through March 8, 2022. Shares are held by the Balo Family Trust U/A/D 4/6/2006, with respect to which the reporting person is a trustee. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person. On March 5, 2021, Mr. Balo adopted a 10b5-1 Plan. This 10b5-1 Plan allows the orderly disposition of shares owned by Mr. Balo. The shares set forth above were sold pursuant to the 10b5-1 Plan. This transaction was executed in multiple trades at prices ranging from $541.27 to $541.36. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $542.55 to $543.40. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $546.745 to $547.740. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $547.80 to $548.65. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $548.93 to $549.92. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. This transaction was executed in multiple trades at prices ranging from $549.99 to $550.73. The price above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected. *EVP Regulatory Strategy Clinical Affairs and Strategic Partnership Development By: Jereme Sylvain For: Andrew K. Balo 2021-09-13