0001562180-19-000149.txt : 20190103
0001562180-19-000149.hdr.sgml : 20190103
20190103181907
ACCESSION NUMBER: 0001562180-19-000149
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190101
FILED AS OF DATE: 20190103
DATE AS OF CHANGE: 20190103
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Smither John W
CENTRAL INDEX KEY: 0001559583
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38155
FILM NUMBER: 19507526
MAIL ADDRESS:
STREET 1: C/O KYTHERA BIOPHARMACEUTICALS, INC.
STREET 2: 27200 WEST AGOURA ROAD, SUITE 200
CITY: CALABASAS
STATE: CA
ZIP: 91301
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Sienna Biopharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001656328
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 273364627
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 30699 RUSSELL RANCH ROAD, SUITE 140
CITY: WESTLAKE VILLAGE
STATE: CA
ZIP: 91362
BUSINESS PHONE: (818) 629-2256
MAIL ADDRESS:
STREET 1: 30699 RUSSELL RANCH ROAD, SUITE 140
CITY: WESTLAKE VILLAGE
STATE: CA
ZIP: 91362
FORMER COMPANY:
FORMER CONFORMED NAME: Sienna Labs, Inc.
DATE OF NAME CHANGE: 20151020
4
1
primarydocument.xml
PRIMARY DOCUMENT
X0306
4
2019-01-01
false
0001656328
Sienna Biopharmaceuticals, Inc.
SNNA
0001559583
Smither John W
C/O SIENNA BIOPHARMACEUTICALS, INC.
30699 RUSSELL RANCH ROAD, SUITE 140
WESTLAKE VILLAGE
CA
91362
false
true
false
false
Chief Financial Officer
Common Stock
2019-01-01
4
A
false
45000.00
A
46657.00
D
Common Stock
34961.00
I
See Footnote
Stock Options (Right to buy)
2.32
2019-01-01
4
A
false
14422.00
0.00
A
2019-01-01
2029-01-01
Common Stock
14422.00
14422.00
D
Stock Options (Right to buy)
2.32
2019-01-01
4
A
false
22500.00
0.00
A
2029-01-01
Common Stock
22500.00
22500.00
D
Stock Options (Right to buy)
2.32
2019-01-01
4
A
false
22500.00
0.00
A
2029-01-01
Common Stock
22500.00
45000.00
D
Award of restricted stock units ("RSUs") granted under the Issuer's 2017 Incentive Award Plan. Each RSU entitles the Reporting Person to receive one share of Issuer common stock upon vesting. The award vests as to twenty-five percent (25%) of the total number of RSUs on July 1, 2019, twenty-five percent (25%) of the total number of RSUs on January 1, 2020, and the remaining fifty percent (50%) of the total number of RSUs on the second anniversary, in each case, subject to the Reporting Person's continued employment or service relationship with the Issuer through the applicable vesting date.
Includes a total of 1,657 shares of the Issuer's common stock acquired pursuant to the Issuer's Employee Stock Purchase Plan.
The shares are directly held by the 1994 Smither Family Trust, as Amended and Restated in 2014.
Twenty percent (20%) of the shares subject to the option vest and become exercisable upon satisfaction of one performance-based milestone, forty percent (40%) of the shares vest and become exercisable upon satisfaction of a second performance-based milestone, and the remaining forty percent (40%) of the shares vest and become exercisable upon satisfaction of a third performance-based milestone, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
Twenty-five percent (25%) of the shares subject to the option vest and become exercisable on July 1,2019, twenty-five percent (25%) of the shares vest and become exercisable on January 1, 2020, and the remaining shares vest and become exercisable in 12 successive, equal monthly installments thereafter, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.
/s/ Timothy K. Andrews, attorney-in-fact for John W. Smither
2019-01-03
EX-24
2
smitherpoa.txt
POA
Sienna Biopharmaceuticals, Inc.
Power of Attorney
Know all by these presents, that the undersigned hereby
constitutes and appoints each of (i) the Chief Executive Officer
of Sienna Biopharmaceuticals, Inc., a Delaware corporation (the
"Company"), who is currently Frederick C. Beddingfield III, (ii)
the Company's Chief Financial Officer, who is currently John W.
Smither, and (iii) the Company's General Counsel, who is
currently Timothy K. Andrews, and their respective successors
(including anyone serving in such capacities on an interim or
acting basis), signing singly, with full powers of substitution,
as the undersigned's true and lawful attorney-in-fact to:
1. prepare, execute in the undersigned's name and on the
undersigned's behalf, and submit to the U.S. Securities and
Exchange Commission (the "SEC") a Form ID, including
amendments thereto, and any other documents necessary or
appropriate to obtain codes and passwords enabling the
undersigned to make electronic filings with the SEC of
reports required by Section 16(a) of the Securities
Exchange Act of 1934 or any rule or regulation of the SEC;
2. execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer and/or director of the
Company, Forms 3, 4, and 5 and any amendments thereto in
accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules thereunder;
3. do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete
and execute any such Form 3, 4, or 5, complete and execute
any amendment or amendments thereto, and timely file such
form with the SEC and any stock exchange or similar
authority; and
4. take any other action of any type whatsoever in connection
with the foregoing which, in the opinion of such attorney-
in-fact, may be of benefit to, in the best interest of, or
legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on
behalf of the undersigned pursuant to this Power of
Attorney shall be in such form and shall contain such terms
and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact
full power and authority to do and perform any and every act and
thing whatsoever requisite, necessary, or proper to be done in
the exercise of any of the rights and powers herein granted, as
fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution
or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or
substitutes, shall lawfully do or cause to be done by virtue of
this power of attorney and the rights and powers herein granted.
The undersigned acknowledges that the foregoing attorneys-in-
fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any
of the undersigned's responsibilities to comply with Section 16
of the Securities Exchange Act of 1934.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to file Forms
3, 4, and 5 with respect to the undersigned's holdings of and
transactions in securities issued by the Company, unless earlier
revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power
of Attorney to be executed as of this 16th day of April, 2018.
/s/ John W. Smither
By: John W. Smither