SEC Form 4 · accession 0001012975-19-000198
Sienna Biopharmaceuticals, Inc. · SNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 22, 2019 | P | 150,000 | $2.50 | A | 2,900,575 | I | See footnote |
| Common StockF1,F2 | Feb 22, 2019 | P | 150,000 | $2.50 | A | 1,032,493 | I | See footnote |
| Common StockF1,F3 | Feb 22, 2019 | P | 1,865,800 | $2.50 | A | 1,865,800 | I | See footnote |
Table II — derivative securities
Explanation of responses
- F1Following the transactions reported herein, includes 1,032,493 shares of common stock held of record by ARCH Venture Fund VIII Overage, L.P. ("ARCH Fund Overage"), 2,900,575 shares of common stock held of record by ARCH Venture Fund VIII, L.P. ("ARCH Fund VIII"), and 1,865,800 shares of common stock held of record by ARCH Venture Fund X Overage, L.P. ("ARCH X Overage").
- F2The sole general partner of ARCH Fund VIII is ARCH Venture Partners VIII, L.P. ("ARCH Partners VIII"). The sole general partner of ARCH Partners VIII and ARCH Fund Overage is ARCH Venture Partners VIII, LLC ("ARCH VIII LLC"). ARCH Partners VIII may therefore be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH VIII LLC may be deemed to beneficially own the securities held by ARCH Fund VIII and ARCH Fund Overage. ARCH Partners VIII and ARCH VIII LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. The managing directors of ARCH VIII LLC are Keith L. Crandell, Clinton Bybee and Robert Nelsen, and they may be deemed to beneficially own the shares held by ARCH Fund VIII and ARCH Fund Overage. Messrs. Crandell, Bybee and Nelsen disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
- F3The sole general Partner of ARCH X Overage is ARCH Venture Partners X Overage, L.P. ("AVP X Over GP"). The sole general partner of AVP X Over GP is ARCH Venture Partners X, LLC ("AVP X LLC"). AVP X Over LP and AVP X LLC may therefore be deemed to beneficially own the securities held by ARCH X Overage. AVP X Over GP and AVP X LLC disclaim beneficial ownership of such securities, except to the extent of any pecuniary interest therein. Keith L. Crandell, Robert Nelsen and Steven Gillis are managing directors of AVP X LLC, and they may be deemed to beneficially own the shares held by ARCH X Overage. Messrs. Crandell, Nelsen and Gillis disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
Remarks
The Reporting Persons are jointly filing this Form 4 pursuant to Rule 16a-3(j) under the Exchange Act. Because no more than 10 reporting persons can file any one Form 4 through the Securities and Exchange Commission's EDGAR system, ARCH Venture Fund X Overage, L.P., ARCH Venture Partners X Overage, L.P., ARCH Venture Partners X Overage, LLC and certain other affiliates of the Reporting Persons have filed a separate Form 4, in which the direct and indirect transactions of ARCH Venture Fund VIII Overage, L.P., ARCH Venture Fund VIII, L.P., ARCH Venture Partners VIII, L.P., ARCH Venture Partners VIII, LLC are also reported, in addition to being reported on this Form 4.