Filing Details
- Accession Number:
- 0001104659-15-066590
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-09-23 06:00:55
- Reporting Period:
- 2015-09-18
- Filing Date:
- 2015-09-23
- Accepted Time:
- 2015-09-23 06:00:55
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1436304 | Kythera Biopharmaceuticals Inc | KYTH | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1559583 | W John Smither | C/O Kythera Biopharmaceuticals, Inc. 30930 Russell Ranch Road, 3Rd Floor Westlake Village CA 91362 | Chief Financial Officer | No | Yes | 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 | 2015-09-18 | 1,054 | $8.22 | 4,422 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-09-18 | 1,054 | $74.95 | 3,368 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-09-22 | 3,476 | $8.22 | 6,844 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-09-22 | 3,476 | $74.90 | 3,368 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-09-22 | 2,115 | $8.22 | 5,483 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-09-22 | 2,115 | $74.90 | 3,368 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2015-06-26 | 1,400 | $0.00 | 6,216 | No | 5 | G | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 5 | G | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options | Disposition | 2015-09-18 | 1,054 | $0.00 | 1,054 | $8.22 |
| Common Stock | Stock Options | Disposition | 2015-09-22 | 3,476 | $0.00 | 3,476 | $8.22 |
| Common Stock | Stock Options | Disposition | 2015-09-22 | 2,115 | $0.00 | 2,115 | $8.22 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,328 | 2022-02-01 | No | 4 | M | Direct | |
| 852 | 2022-02-01 | No | 4 | M | Direct | |
| 13,272 | 2022-02-01 | No | 4 | M | Direct |
Footnotes
- Shares held by the 1994 Smither Family Trust dated March 1, 1994 as amended March 23, 2006. John W. Smither and Noretha V. Smither, Trustees (the "1994 Smither Family Trust").
- 25% of the shares subject to the option vested on the first anniversary measured from January 1, 2012 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest in thirty-six (36) successive and equal monthly installments thereafter, such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date.
- The shares subject to these options vested 100% upon the achievement of certain performance milestones approved by the Issuer's Board of Directors.
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