SEC Form 4 · accession 0001104659-15-066590
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John W Smither
Officer — Chief Financial Officer
Period of report
Sep 18, 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 18, 2015 | M | 1,054 | $8.22 | A | 4,422 | D | |
| Common Stock | Sep 18, 2015 | S | 1,054 | $74.95 | D | 3,368 | D | |
| Common Stock | Sep 22, 2015 | M | 3,476 | $8.22 | A | 6,844 | D | |
| Common Stock | Sep 22, 2015 | S | 3,476 | $74.90 | D | 3,368 | D | |
| Common Stock | Sep 22, 2015 | M | 2,115 | $8.22 | A | 5,483 | D | |
| Common Stock | Sep 22, 2015 | S | 2,115 | $74.90 | D | 3,368 | D | |
| Common StockF1 | Jun 26, 2015 | G | 1,400 | $0.00 | D | 6,216 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF2 | $8.22 | Sep 18, 2015 | M | 1,054 | D | — | Feb 1, 2022 | Common Stock | 1,054 | 4,328 | D |
| Stock OptionsF2 | $8.22 | Sep 22, 2015 | M | 3,476 | D | — | Feb 1, 2022 | Common Stock | 3,476 | 852 | D |
| Stock OptionsF3 | $8.22 | Sep 22, 2015 | M | 2,115 | D | — | Feb 1, 2022 | Common Stock | 2,115 | 13,272 | D |
Explanation of responses
- F1Shares 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").
- F225% 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.
- F3The shares subject to these options vested 100% upon the achievement of certain performance milestones approved by the Issuer's Board of Directors.