SEC Form 4 · accession 0001104659-15-067092
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Elisabeth Sandoval
Officer — Chief Commercial Officer
Period of report
Sep 22, 2015
Accepted (ET)
Sep 24, 2015 · 9:36 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 Stock | Sep 22, 2015 | M | 10,590 | $8.22 | A | 10,590 | D | |
| Common Stock | Sep 22, 2015 | S | 10,590 | $74.90 | D | 0 | D | |
| Common Stock | Sep 23, 2015 | M | 11,892 | $8.22 | A | 11,892 | D | |
| Common Stock | Sep 23, 2015 | S | 11,892 | $74.90 | D | 0 | D | |
| Common Stock | Sep 23, 2015 | M | 22,690 | $8.22 | A | 22,690 | D | |
| Common Stock | Sep 23, 2015 | S | 22,690 | $74.90 | D | 0 | D | |
| Common Stock | Sep 23, 2015 | M | 26,800 | $27.50 | A | 26,800 | D | |
| Common Stock | Sep 23, 2015 | S | 26,800 | $74.90 | D | 0 | D | |
| Common Stock | Sep 23, 2015 | M | 11,150 | $44.02 | A | 11,150 | D | |
| Common Stock | Sep 23, 2015 | S | 11,150 | $74.90 | D | 0 | 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 | 10,590 | D | — | Apr 2, 2022 | Common Stock | 10,590 | 16,749 | D |
| Stock OptionsF1 | $8.22 | Sep 23, 2015 | M | 11,892 | D | — | Apr 2, 2022 | Common Stock | 11,892 | 4,857 | D |
| Stock OptionsF2 | $8.22 | Sep 23, 2015 | M | 22,690 | D | — | Apr 2, 2022 | Common Stock | 22,690 | 0 | D |
| Stock OptionsF2 | $27.50 | Sep 23, 2015 | M | 13,400 | D | — | Jan 29, 2023 | Common Stock | 13,400 | 0 | D |
| Stock OptionsF1 | $27.50 | Sep 23, 2015 | M | 13,400 | D | — | Jan 29, 2023 | Common Stock | 13,400 | 6,700 | D |
| Stock OptionsF1 | $44.02 | Sep 23, 2015 | M | 11,150 | D | — | Jan 22, 2024 | Common Stock | 11,150 | 15,608 | 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.