SCHNELL DAVID 4
4 · KYTHERA BIOPHARMACEUTICALS INC · Filed Oct 16, 2012
Insider Transaction Report
Form 4
SCHNELL DAVID
Director10% Owner
Transactions
- Conversion
Series D Preferred Stock
2012-10-16−118,013→ 0 total(indirect: See footnote)→ Common Stock (118,013 underlying) - Conversion
Common Stock
2012-10-16+469,926→ 1,796,553 total(indirect: See footnote) - Conversion
Common Stock
2012-10-16+1,325,151→ 1,326,627 total(indirect: See footnote) - Conversion
Series A Preferred Stock
2012-10-16−1,476→ 0 total(indirect: See footnote)→ Common Stock (1,476 underlying) - Conversion
Series B Preferred Stock
2012-10-16−1,314,831→ 0 total(indirect: See footnote)→ Common Stock (1,325,151 underlying) - Conversion
Series C Preferred Stock
2012-10-16−469,926→ 0 total(indirect: See footnote)→ Common Stock (469,926 underlying) - Conversion
Common Stock
2012-10-16+1,476→ 1,476 total(indirect: See footnote) - Conversion
Common Stock
2012-10-16+118,013→ 1,914,566 total(indirect: See footnote)
Footnotes (8)
- [F1]Reflects a 1-for-2.6443 reverse stock split of the Issuer's outstanding securities effected prior to the effectiveness of the Issuer's S-1 Registration Statement.
- [F2]Each share of Series A Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F3]Shares held by Prospect Venture Partners III, L.P. ("PVP III"). Prospect Management Co. III, L.L.C. ("PMC III") serves as the general partner of PVP III and possesses sole voting and investment control over the shares owned by PVP III. PMC III however owns no securities of the Issuer directly. David Schnell, a member of the Issuer's board of directors, is a managing member of PMC III and may be deemed to have shared voting and investment power over the shares held by PVP III. Mr. Schnell disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.
- [F4]Each share of Series B Preferred Stock was automatically converted on a 1.00784918354475-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F5]Each share of Series C Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F6]Each share of Series D Preferred Stock was automatically converted on a 1-for-1 basis into Common Stock upon the closing of the Issuer's initial public offering.
- [F7]The shares are immediately convertible.
- [F8]The shares do not have an expiration date.