SEC Form 4 · accession 0001179110-15-006891
KYTHERA BIOPHARMACEUTICALS INC · KYTH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith R Leonard
Officer — President & CEO · Director
Period of report
Apr 29, 2015
Accepted (ET)
Apr 30, 2015 · 9:17 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 | Apr 29, 2015 | A | 14,662 | $0.00 | A | 14,662 | D | |
| Common StockF8 | Apr 30, 2015 | S | 4,557 | $45.21 | D | 10,105 | D | |
| Common StockF9 | Apr 30, 2015 | S | 1,000 | $45.67 | D | 9,105 | D | |
| Common StockF1 | holding | — | — | — | 863,073 | I | See footnote | |
| Common StockF2 | holding | — | — | — | 47,103 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 47,103 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 189 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 189 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held by Leonard Family Trust, dated August 28, 1996, Keith Richard Leonard, Jr. and Nanette LaRosa Leonard, Trustees.
- F2Shares held by Keith Richard Leonard, Jr., Retained Annuity Trust, Dated 12 April, 2010, Keith Richard Leonard, Jr., Trustee.
- F3Shares held by Nanette LaRosa Leonard, Retained Annuity Trust, Dated 12 April, 2010, Keith Richard Leonard, Jr., Trustee.
- F4Shares held by Keith R. Leonard III. Keith R. Leonard III is the son of the Reporting Person.
- F5Shares held by Nina R. Leonard. Nina R. Leonard is the daughter of the Reporting Person.
- F6On January 22, 2014, the Reporting Person was granted 14,662 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.
- F7Sale of shares to satisfy tax withholding obligations in connection with the vesting of the RSUs.
- F8The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $44.57 to $45.46, 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.
- F9The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $45.51 to $45.76, 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.