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