SEC Form 4 · accession 0001179110-15-001525
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
John W Smither
Officer — Chief Financial Officer
Period of report
Jan 29, 2015
Accepted (ET)
Feb 2, 2015 · 4:26 pm EST
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 | Jan 29, 2015 | S | 1,000 | $38.00 | D | 18,416 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF3 | $38.53 | Jan 29, 2015 | A | 45,344 | A | — | Jan 29, 2025 | Common Stock | 45,344 | 45,344 | D |
Explanation of responses
- F1The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan which expires January 22, 2016.
- F2Shares held by the 1994 Smither Family Trust dated March 1, 1994 as amended March 23, 2006, John W. Smither and Noretha V. Smither, Trustees.
- F325% of the shares subject to the option vest on the first anniversary measured from January 1, 2015 (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, subject to continued employment through each such vesting date.