Form 4 Andrews Timothy K.

4 - Statement of changes in beneficial ownership of securities

Published: 2018-06-04 21:23:29
Submitted: 2018-06-04
Period Ending In: 2018-06-01
primarydocument.html PRIMARY DOCUMENT


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SEC FORM 4

SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Andrews Timothy K.

(Last) (First) (Middle)
C/O SIENNA BIOPHARMACEUTICALS, INC.
30699 RUSSELL RANCH ROAD, SUITE 140

(Street)
WESTLAKE VILLAGE CA 91362

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Sienna Biopharmaceuticals, Inc. [ SNNA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
General Counsel & Secretary
3. Date of Earliest Transaction (Month/Day/Year)
06/01/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 53,699(1) D
Common Stock 15,000 I See Footnote(2)
Common Stock 10,000 I See Footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Options (Right to buy) $15.08 06/01/2018 A 60,000 (4) 06/01/2028 Common Stock 60,000 $0.00 60,000 D
Explanation of Responses:
1. Includes 1,962 shares of the Issuer's common stock acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 31, 2018.
2. The shares are held directly by Steelhead Bioventures LLC, a limited liability company in which the Reporting Person holds a controlling interest.
3. The shares are held directly by the Andrews Living Trust (the "Trust"), of which the Reporting Person serves as co-trustee. The Reporting Person and members of his immediate family are beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares of the Issuer's common stock held by the Trust except to the extent of his pecuniary interest therein.
4. Twenty-Five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from June 1, 2018, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
Remarks:
/s/ Timothy K. Andrews 06/04/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
1
primarydocument.xml PRIMARY DOCUMENT
Schema Version:
X0306
Document Type:
4
Period Of Report:
2018-06-01
Not Subject To Section16:
false

Issuer

Issuer Cik
0001656328
Issuer Name
Sienna Biopharmaceuticals, Inc.
Issuer Trading Symbol
SNNA

Reporting Owner

Reporting Owner Id

Rpt Owner Cik
0001711464
Rpt Owner Name
Andrews Timothy K.

Reporting Owner Address

Rpt Owner Street1
C/O SIENNA BIOPHARMACEUTICALS, INC.
Rpt Owner Street2
30699 RUSSELL RANCH ROAD, SUITE 140
Rpt Owner City
WESTLAKE VILLAGE
Rpt Owner State
CA
Rpt Owner Zip Code
91362

Reporting Owner Relationship

Is Director
false
Is Officer
true
Is Ten Percent Owner
false
Is Other
false
Officer Title
General Counsel & Secretary

Non Derivative Holding

Security Title
Common Stock

Shares Owned Following Transaction

Value
53699.00
@attributes Id
F1
Direct Or Indirect Ownership
D
Security Title
Common Stock
Shares Owned Following Transaction
15000.00

Ownership Nature

Direct Or Indirect Ownership
I

Nature Of Ownership

Value
See Footnote
@attributes Id
F2
Security Title
Common Stock
Shares Owned Following Transaction
10000.00

Ownership Nature

Direct Or Indirect Ownership
I

Nature Of Ownership

Value
See Footnote
@attributes Id
F3

Derivative Transaction

Security Title
Stock Options (Right to buy)
Conversion Or Exercise Price
15.08
Transaction Date
2018-06-01

Transaction Coding

Transaction Form Type
4
Transaction Code
A
Equity Swap Involved
false

Transaction Amounts

Transaction Shares
60000.00
Transaction Price Per Share
0.00
Transaction Acquired Disposed Code
A
@attributes Id
F4
Expiration Date
2028-06-01

Underlying Security

Underlying Security Title
Common Stock
Underlying Security Shares
60000.00
Shares Owned Following Transaction
60000.00
Direct Or Indirect Ownership
D

Footnote

0
Includes 1,962 shares of the Issuer's common stock acquired pursuant to the Issuer's Employee Stock Purchase Plan on May 31, 2018.
1
The shares are held directly by Steelhead Bioventures LLC, a limited liability company in which the Reporting Person holds a controlling interest.
2
The shares are held directly by the Andrews Living Trust (the "Trust"), of which the Reporting Person serves as co-trustee. The Reporting Person and members of his immediate family are beneficiaries of the Trust. The Reporting Person disclaims beneficial ownership of the shares of the Issuer's common stock held by the Trust except to the extent of his pecuniary interest therein.
3
Twenty-Five percent (25%) of the shares subject to the option vest and become exercisable on the first anniversary measured from June 1, 2018, and the remaining shares subject to the option vest and become exercisable in 36 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.

Owner Signature

Signature Name
/s/ Timothy K. Andrews
Signature Date
2018-06-04
Additional Files
FileSequenceDescriptionTypeSize
0001562180-18-002840.txt   Complete submission text file   8717
$SNNA

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