SEC Form 4 · accession 0001140361-17-029592

Sienna Biopharmaceuticals, Inc. · SNNA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Aug 1, 2017

Accepted (ET)

Aug 1, 2017 · 4:21 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001656328

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Aug 1, 2017	C	2,538,641	—	A	2,538,641	I	See Footnote
Common Stock^F1,F2	Aug 1, 2017	C	211,934	—	A	2,750,575	I	See Footnote
Common Stock^F1,F3	Aug 1, 2017	C	563,072	—	A	563,072	I	See Footnote
Common Stock^F1,F3	Aug 1, 2017	C	319,421	—	A	882,493	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-3 Preferred Stock^F1,F2,F4	—	Aug 1, 2017	C	2,538,641	D	—	—	Common Stock	2,538,641	I
Series A-3 Preferred Stock^F1,F3,F4	—	Aug 1, 2017	C	563,072	D	—	—	Common Stock	563,072	I
Series B Preferred Stock^F1,F2,F4	—	Aug 1, 2017	C	211,934	D	—	—	Common Stock	211,934	I
Series B Preferred Stock^F1,F3,F4	—	Aug 1, 2017	C	319,421	D	—	—	Common Stock	319,421	I

F1The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering.
F2The shares are directly held by ARCH Venture Fund VIII, L.P. ("ARCH VIII"). ARCH Venture Partners VIII, L.P. (the "GPLP"), as the sole general partner of ARCH VIII, may be deemed to beneficially own certain of the shares held by ARCH VIII. ARCH Venture Partners VIII, LLC ("GPLLC"), as the sole general partner of GPLP, may be deemed to beneficially own the shares held by ARCH VIII. The Reporting Person has an interest in the GPLP and the GPLLC, but does not have voting or investment control over the shares held by ARCH VIII. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F3The shares are directly held by ARCH Venture Fund VIII Overage, L.P. ("ARCH Overage"). GPLLC, as the sole general partner of ARCH Overage, may be deemed to beneficially own the shares held by ARCH Overage. The Reporting Person has an interest in the GPLLC, but does not have voting or investment control over the shares held by ARCH Overage. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F4The expiration date is not relevant to the conversion of these securities.