SEC Form 4 · accession 0001012975-15-000250
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Nelsen
Other
Period of report
Mar 24, 2015
Accepted (ET)
Mar 26, 2015 · 4:33 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001436304
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF3,F4 | Mar 24, 2015 | M | 2,206 | $21.65 | A | 6,514 | D | |
| Common StockF3,F4 | Mar 24, 2015 | M | 3,781 | $16.00 | A | 10,295 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1,F5 | $21.65 | Mar 24, 2015 | M | 2,206 | A | — | Jun 4, 2023 | Common Stock | 2,206 | 0 | D |
| Stock Option (right to buy)F2,F6 | $16.00 | Mar 24, 2015 | M | 3,781 | A | — | Oct 10, 2022 | Common Stock | 3,781 | 0 | D |
Explanation of responses
- F1Exercise of options granted 6/4/2013 at a grant price of $21.65.
- F2Exercise of options granted 10/10/2012 at a grant price of $16.00.
- F3Shares owned directly by the Reporting Person.
- F4In addition to shares held directly, the Reporting Person may be deemed to own beneficially 947,309 shares of the Issuer's common stock held of record by ARCH Venture Fund VI, L.P. ("ARCH Fund VI"). The sole general partner of ARCH Fund VI is ARCH Venture Partners VI, L.P. ("ARCH Partners VI"). The sole general partner of ARCH Partners VI is ARCH Venture Partners VI, LLC ("ARCH VI LLC"). The Managing Directors of ARCH VI LLC, Robert T. Nelsen, Keith Crandell and Clinton Bybee, are deemed to have voting and dispositive power over the shares and may be deemed to beneficially own certain shares held by ARCH Fund VI. Each of the Reporting Person, ARCH Partners VI, ARCH VI LLC, Crandell and Bybee disclaims beneficial ownership of these securities, except to the extent of his or its (as applicable) pecuniary interest therein, and this report shall not be deemed an admission that such persons are the beneficial owners of such securities for Section 16 or any other purpose.
- F51/3 of the shares subject to the option vested annually measured from June 4, 2013, such that 2,206 of the shares subject to the option were fully vested and exercisable as of the date of exercise. The remaining 4,412 shares subject to option were unvested and forfeited to the Issuer.
- F61/3 of the shares subject to the option vested annually measured from October 10, 2012 such that 3,781 of the shares subject to the option were fully vested and exercisable as of the date of exercise. The remaining 1,891 shares subject to option were unvested and forfeited to the Issuer.