SEC Form 4 · accession 0001179110-15-013371
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 25, 2015
Accepted (ET)
Sep 28, 2015 · 6:28 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 25, 2015 | M | 14,017 | $4.84 | A | 17,385 | D | |
| Common StockF2 | holding | — | — | — | 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 OptionsF1 | $4.84 | Sep 25, 2015 | M | 14,017 | D | — | Jan 21, 2019 | Common Stock | 14,017 | 0 | D |
Explanation of responses
- F1100% of the shares subject to the options are fully vested and exercisable.
- 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 (the "1994 Smither Family Trust").