SEC Form 4 · accession 0001209191-18-036541
Sientra, Inc. · SIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nicholas Simon
Director
Period of report
Jun 5, 2018
Accepted (ET)
Jun 7, 2018 · 8:35 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 | holding | — | — | — | 2,730,765 | I | See Note |
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 2,730,765 shares held of record by Clarus Lifesciences I, L.P. ("Clarus I"). Clarus Ventures I Management, L.P. ("Clarus I GPLP") is the sole general partner of Clarus I. Clarus Ventures I, LLC ("Clarus I GPLLC") is the sole general partner of Clarus I GPLP. Mr. Simon is a managing director of Clarus I GPLLC and may be deemed to beneficially own certain of the shares held of record by Clarus I. Mr. Simon disclaims beneficial ownership of all shares held of record by Clarus I, except to the extent of his pecuniary interest therein.