SEC Form 4 · accession 0001179110-15-014960
Sientra, Inc. · SIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey M Nugent
Officer — Chief Executive Officer · Director · Other
Period of report
Nov 12, 2015
Accepted (ET)
Nov 16, 2015 · 8:16 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001551693
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 12, 2015 | A | 17,993 | $0.00 | A | 17,993 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $3.88 | Nov 12, 2015 | A | 621,931 | A | — | Nov 12, 2025 | Common Stock | 621,931 | 638,058 | D |
Explanation of responses
- F1These restricted stock units vest over time in equal three month installments over a 48 month period commencing on the 3 month anniversary of November 12, 2015.
- F2This stock option vests in equal monthly installments over a 48 month period commencing on the first month anniversary of November 12, 2015.