SEC Form 4 · accession 0001140361-17-029602
Sienna Biopharmaceuticals, Inc. · SNNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Keith Crandell
10% Owner
Clinton Bybee
10% Owner
ARCH Venture Fund VIII, L.P.
10% Owner
ARCH Venture Partners VIII, LLC
10% Owner
ARCH Venture Partners VIII, L.P.
10% Owner
ARCH Venture Fund VIII Overage, L.P.
10% Owner
Period of report
Aug 1, 2017
Accepted (ET)
Aug 1, 2017 · 4:30 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 | 2,538,641 | — | A | 2,538,641 | I | See Footnote |
| Common StockF1,F2 | Aug 1, 2017 | C | 211,934 | — | A | 2,750,575 | I | See Footnote |
| Common StockF1,F3 | Aug 1, 2017 | C | 563,072 | — | A | 563,072 | I | See Footnote |
| Common StockF1,F3 | Aug 1, 2017 | C | 319,421 | — | A | 882,493 | I | See Footnote |
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 | 2,538,641 | D | — | — | Common Stock | 2,538,641 | 0 | I |
| Series A-3 Preferred StockF1,F3,F4 | — | Aug 1, 2017 | C | 563,072 | D | — | — | Common Stock | 563,072 | 0 | I |
| Series B Preferred StockF1,F2,F4 | — | Aug 1, 2017 | C | 211,934 | D | — | — | Common Stock | 211,934 | 0 | I |
| Series B Preferred StockF1,F3,F4 | — | Aug 1, 2017 | C | 319,421 | D | — | — | Common Stock | 319,421 | 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 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. Keith Crandell and Clinton Bybee are managing directors of GPLLC, and as such may be deemed to beneficially own the shares held by ARCH VIII. Each 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. Keith Crandell and Clinton Bybee are managing directors of GPLLC, and as such may be deemed to beneficially own the shares held by ARCH Overage. Each 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.