SEC Form 4 · accession 0001140361-17-029595
Sienna Biopharmaceuticals, Inc. · SNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul F. Lizzul
Officer — Chief Medical Officer
Period of report
Aug 1, 2017
Accepted (ET)
Aug 1, 2017 · 4:23 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 StockF1,F2 | Aug 1, 2017 | C | 10,557 | — | A | 10,557 | I | See Footnote |
| Common Stock | Aug 1, 2017 | P | 10,000 | $15.00 | A | 94,634 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-3 Preferred StockF1,F2,F4 | — | Aug 1, 2017 | C | 10,557 | D | — | — | Common Stock | 10,557 | 0 | I |
Explanation of responses
- 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 the Lizzul Living Trust, Paul F. Lizzul and Dawn Marie Lizzul, Trustees.
- F3The Reporting Person purchased the shares of the Issuer's common stock in connection with the Issuer's initial public offering at the offering price of $15.00 per share.
- F4The expiration date is not relevant to the conversion of these securities.