0000905718-18-000913.txt : 20181108 0000905718-18-000913.hdr.sgml : 20181108 20181108162652 ACCESSION NUMBER: 0000905718-18-000913 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181106 FILED AS OF DATE: 20181108 DATE AS OF CHANGE: 20181108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haines Timothy CENTRAL INDEX KEY: 0001526068 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36709 FILM NUMBER: 181170054 MAIL ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sientra, Inc. CENTRAL INDEX KEY: 0001551693 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 205551000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 420 SOUTH FAIRVIEW AVENUE STREET 2: SUITE 200 CITY: SANTA BARBARA STATE: CA ZIP: 93117 BUSINESS PHONE: 805.679.8838 MAIL ADDRESS: STREET 1: 420 SOUTH FAIRVIEW AVENUE STREET 2: SUITE 200 CITY: SANTA BARBARA STATE: CA ZIP: 93117 4 1 sientra_fm4nov62018.xml OWNERSHIP DOCUMENT X0306 4 2018-11-06 1 0001551693 Sientra, Inc. SIEN 0001526068 Haines Timothy 420 SOUTH FAIRVIEW, SUITE 200 SANTA BARBARA CA 93117 1 0 0 0 Common Stock 2018-11-06 4 S 0 8514 21.13 D 2471980 I See Notes Common Stock 2018-11-06 4 S 0 81137 21.60 D 2390843 I See Notes Common Stock 37662 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Abingworth Bioventures VI, LP ("ABV VI") and Abingworth Bioventures V Co-Invest Growth Equity Fund LP ("AGE") on September 5, 2018. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.00 to $21.25 per share, inclusive. Timothy Haines (the "Reporting Person") undertakes to provide to Sientra, Inc. ("Sientra"), any security holder of Sientra, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Consists of (i) 1,235,990 shares held of record by ABV V, and (ii) 1,235,990 shares held of record by AGE. ABV V and AGE are collectively referred to as the "Abingworth Funds." The investment manager of the Abingworth Funds is Abingworth LLP ("Abingworth"). Abingworth Bioventures V GP LP ("Abingworth GP"), a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds. The Reporting Person holds the reported securities indirectly through Abingworth. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.27 to $22.25 per share, inclusive. Reporting Person undertakes to provide to Sientra, any security holder of Sientra, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein. Consists of (i) 1,195,421 shares held of record by ABV V, and (ii) 1,195,422 shares held of record by AGE. The investment manager of the Abingworth Funds is Abingworth. Abingworth GP, a Scottish limited partnership, serves as the general partner of each of the Abingworth Funds. Abingworth General Partner V LLP, a Scottish limited liability partnership, serves as the general partner of Abingworth GP. Abingworth GP (acting by its general partner Abingworth General Partner V LLP) has delegated to Abingworth all investment and dispositive power over the shares held by the Abingworth Funds. The Reporting Person holds the reported securities indirectly through Abingworth. The Reporting Person is part of an investment committee of Abingworth, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by the Abingworth Funds. From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time. The Reporting Person disclaims beneficial ownership of all shares held of record by the Abingworth Funds, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person, Abingworth or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. /s/ Timothy Haines 2018-11-08