SEC Form 4 · accession 0001209191-18-045945
Sientra, Inc. · SIEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keith J Sullivan
Officer — Interim GM miraDry · Director
Period of report
Aug 6, 2018
Accepted (ET)
Aug 8, 2018 · 9:15 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 | Aug 6, 2018 | A | 35,000 | $20.97 | A | 142,272 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF2 | $20.97 | Aug 6, 2018 | A | 5,000 | A | — | — | Common Stock | 5,000 | 5,000 | D |
Explanation of responses
- F1The Restricted Stock Units (RSUs) vest immediately following the filing of the Issuer's quarterly report on Form 10-Q for the period ending June 30, 2018.
- F2The performance-based RSUs shall vest upon the achievement of certain performance objectives on the first business day after the Issuer files its Annual Report on Form 10-K for the financial year ending December 31, 2018, subject to the Reporting Person's continued service.