SEC Form 4 · accession 0001179110-16-018042
Sientra, Inc. · SIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew Pigeon
Officer — CFO and Treasurer
Period of report
Jan 26, 2016
Accepted (ET)
Jan 28, 2016 · 12:50 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 (RSU)F1,F2 | Jan 26, 2016 | A | 140,000 | $0.00 | A | 141,248 | 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) | $15.65 | Jan 27, 2016 | A | 5,416 | A | Jan 27, 2016 | Jan 27, 2025 | Common Stock | 5,416 | 165,112 | D |
Explanation of responses
- F1One-third (1/3) of the restricted stock units shall vest on the first anniversary of the vesting calculation date, one-third (1/3) of the restricted stock units shall vest on the second anniversary of the vesting calculation date and the remaining one-third (1/3) of the restricted stock units shall vest on the third anniversary of the vesting calculation date, subject to continued Service (as defined in the Sientra, Inc. 2014 Stock Incentive Plan) with the Company.
- F2Includes Employee Stock Purchase Plan purchases of 473 shares of Common Stock on July 20, 2015 and 775 shares of Common Stock on January 20, 2016.