SEC Form 4 · accession 0001140361-17-029600
Sienna Biopharmaceuticals, Inc. · SNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Diane Stroehmann
Officer — See Remarks
Period of report
Aug 1, 2017
Accepted (ET)
Aug 1, 2017 · 4:27 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 | Aug 1, 2017 | C | 28,153 | — | A | 117,724 | D | |
| Common Stock | Aug 1, 2017 | P | 7,000 | $15.00 | A | 124,724 | 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,F3 | — | Aug 1, 2017 | C | 28,153 | D | — | — | Common Stock | 28,153 | 0 | D |
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 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.
- F3The expiration date is not relevant to the conversion of these securities.
Remarks
Chief of Staff, Head of Regulatory Affairs and Quality