SEC Form 4/A · accession 0001104659-15-066589
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John W Smither
Officer — Chief Financial Officer
Period of report
Apr 29, 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 StockF2 | Apr 29, 2015 | A | 5,409 | $0.00 | A | 5,409 | D | |
| Common StockF4,F2 | Apr 30, 2015 | S | 2,041 | $45.49 | D | 3,368 | D | |
| Common StockF2,F5 | holding | — | — | — | 12,216 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 22, 2014, the Reporting Person was granted 5,409 restricted stock units (RSUs), with 100% of the RSUs to vest upon approval of the Issuer's New Drug Application (NDA) by the U.S. Food and Drug Administration. The NDA was approved on April 29, 2015. The Reporting Person received one (1) share of Common Stock for each one (1) RSU upon vesting.
- F2The purpose of this amendment is to report correctly the number of securities beneficially owned by the Reporting Person following the transactions reported in the original Form 4 filed with the Securities and Exchange Commission on April 30, 2015. The Reporting Person's indirect ownership of 12,216 shares was incorrectly reported as direct ownership on the original Form 4, and the subsequent Form 4 filed by the Reporting Person on June 30, 2015. Except as otherwise noted in this Form 4/A, all other information disclosed in the Reporting Person's original Form 4 was accurately reported.
- F3Sale of shares to satisfy tax withholding obligations in connection with the vesting of the RSUs.
- F4The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $45.05 to $45.79, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F5Shares held by the 1994 Smither Family Trust dated March 1, 1994 as amended March 23, 2006, John W. Smither and Noretha V. Smither, Trustees (the "1994 Smither Family Trust").