SEC Form 4 · accession 0001209191-18-036530
Sientra, Inc. · SIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Haines
Director
Period of report
Jun 5, 2018
Accepted (ET)
Jun 7, 2018 · 8:20 pm EDT
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 (RSUs)F1 | Jun 5, 2018 | A | 6,116 | $20.44 | A | 37,662 | D | |
| Common StockF2,F3,F4 | holding | — | — | — | 2,480,494 | I | See Notes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Common Stock underlying this grant of restricted stock will vest on the earlier to occur of: (i) the day prior to the annual meeting of stockholders for the year following the date of grant or (ii) the one (1) year anniversary of the annual meeting of stockholders of the year of grant, subject to continued service as a director of the Issuer.
- F2Consists of (i) 1,240,247 shares held of record by Abingworth Bioventures V LP ("ABV V"), and (ii) 1,240,247 shares held of record by Abingworth Bioventures V Co-Invest Growth Equity Fund LP ("AGE"). ABV V and AGE are collectively referred to as the "Abingworth Funds." The investment manager of the Abingworth Funds is Abingworth LLP ("Abingworth"). Abingworth Bioventures V GP LP ("Abingworth GP"), a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds.
- F3The Reporting Person is part of an investment committee of Abingworth, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by the Abingworth Funds. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time.
- F4The Reporting Person disclaims beneficial ownership of all shares held of record by the Abingworth Funds, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.