SEC Form 4 · accession 0001104659-15-066588
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith Klein
Officer — General Counsel
Period of report
Sep 22, 2015
Accepted (ET)
Sep 23, 2015 · 6:00 am 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 Stock | Sep 11, 2015 | G | 2,677 | $0.00 | D | 4,068 | D | |
| Common Stock | Sep 22, 2015 | M | 10,589 | $8.22 | A | 14,657 | D | |
| Common Stock | Sep 22, 2015 | S | 10,589 | $74.90 | D | 4,068 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $8.22 | Sep 22, 2015 | M | 9,405 | D | — | Feb 1, 2022 | Common Stock | 9,405 | 0 | D |
| Stock OptionsF2 | $8.22 | Sep 22, 2015 | M | 1,184 | D | — | Feb 1, 2022 | Common Stock | 1,184 | 14,203 | D |
Explanation of responses
- F125% of the shares subject to the option vested on the first anniversary measured from January 1, 2012 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
- F2The shares subject to these options vested 100% upon the achievement of certain performance milestones approved by the Issuer's Board of Directors.