Filing Details

Accession Number:
0000950142-14-001812
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-09-04 20:29:56
Reporting Period:
2014-09-02
Filing Date:
2014-09-04
Accepted Time:
2014-09-04 20:29:56
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1415336 Zeltiq Aesthetics Inc ZLTQ Electromedical & Electrotherapeutic Apparatus (3845) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1172252 N Andrew Schiff 888 Seventh Avenue
30Th Floor
New York NY 10106
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2014-09-02 30,000 $0.00 31,152 No 4 X Direct
Common Stock Acquisiton 2014-09-02 5,165 $0.00 36,317 No 4 X Direct
Common Stock Disposition 2014-09-02 35,165 $22.55 1,152 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Direct
No 4 X Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Options (Right to Buy) Acquisiton 2014-09-02 30,000 $0.00 30,000 $6.34
Common Stock Stock Options (Right to Buy) Acquisiton 2014-09-02 5,165 $0.00 5,165 $5.06
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2014-06-19 2023-06-18 No 4 X Direct
4,371 2013-06-14 2022-06-14 No 4 X Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,597,742 Indirect By Aisling Capital III, L.P.
Footnotes
  1. These shares were sold by our broker pursuant to instructions given to our broker by the reporting person on July 31, 2014, pursuant to a Rule 10b5-1 trading plan.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.16 to $23.33, inclusive. The reporting person undertakes to provide to Zeltiq Aesthetics, Inc., any security holder of Zeltiq Aesthetics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the preceding sentence.
  3. Includes 87 shares of Common Stock held by a trust for the benefit of Mr. Schiff's children.
  4. These stock options are held by Mr. Schiff for the benefit of Aisling Capital LLC. Mr. Schiff disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
  5. The shares are directly held by Aisling Capital III, LP ("Aisling") and are indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III, LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members of Aisling Partners. The individual managing members (collectively, the "Managers") of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Aisling GP, Aisling Partners, and the Managers share voting and dispositive power over the shares directly held by Aisling. Dr. Andrew Schiff is a member of the Board of Directors of Zeltiq Aesthetics, Inc.
  6. Issued pursuant to the 2011 Equity Incentive Plan of the Issuer.
  7. As of the date of this report, 5,165 shares subject to the option have vested and the remainder will vest in 22 ratable monthly installments hereafter, subject to the Reporting Person's continued service with the Issuer.
  8. These stock options were exercised by our broker, pursuant to instructions given to our broker by the reporting person on July 31, 2014, pursuant to a Rule 10b5-1 trading plan.