0000950142-15-002572.txt : 20151209
0000950142-15-002572.hdr.sgml : 20151209
20151209161651
ACCESSION NUMBER: 0000950142-15-002572
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151207
FILED AS OF DATE: 20151209
DATE AS OF CHANGE: 20151209
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Zeltiq Aesthetics Inc
CENTRAL INDEX KEY: 0001415336
STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
IRS NUMBER: 270119051
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4698 Willow Road
STREET 2: Suite 100
CITY: Pleasanton
STATE: CA
ZIP: 94588-2710
BUSINESS PHONE: (925) 474-2500
MAIL ADDRESS:
STREET 1: 4698 Willow Road
STREET 2: Suite 100
CITY: Pleasanton
STATE: CA
ZIP: 94588-2710
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHIFF ANDREW N
CENTRAL INDEX KEY: 0001172252
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-35318
FILM NUMBER: 151278544
MAIL ADDRESS:
STREET 1: PLANET ZANETT INC
STREET 2: 135 E 57TH ST
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER NAME:
FORMER CONFORMED NAME: SCHIFF DR DREW
DATE OF NAME CHANGE: 20020426
4
1
es1501422_4-schiff.xml
OWNERSHIP DOCUMENT
X0306
4
2015-12-07
0
0001415336
Zeltiq Aesthetics Inc
ZLTQ
0001172252
SCHIFF ANDREW N
888 SEVENTH AVENUE
12TH FLOOR
NEW YORK
NY
10106
1
0
0
0
Common Stock
2015-12-07
4
X
0
5400
0
A
12338
D
Common Stock
2015-12-07
4
X
0
2082
0
A
14420
D
Common Stock
2015-12-07
4
S
0
7482
30.0119
D
6938
D
Common Stock
2015-12-08
4
X
0
24600
0
A
31538
D
Common Stock
2015-12-08
4
X
0
700
0
A
32238
D
Common Stock
2015-12-08
4
S
0
25300
30.1677
D
6938
D
Common Stock
2097742
I
By Aisling Capital III, L.P.
Stock Options (Right to Buy)
17.48
2015-12-07
4
X
0
5400
0
D
2014-05-30
2024-05-29
Common Stock
5400
24600
D
Stock Options (Right to Buy)
5.06
2015-12-07
4
X
0
2082
0
D
2013-06-14
2022-06-14
Common Stock
2082
700
D
Stock Options (Right to Buy)
17.48
2015-12-08
4
X
0
24600
0
D
2014-05-30
2024-05-29
Common Stock
24600
0
D
Stock Options (Right to Buy)
5.06
2015-12-08
4
X
0
700
0
D
2013-06-14
2022-06-14
Common Stock
700
1589
D
These shares were sold by our broker pursuant to instructions given to our broker by the reporting person on November 2, 2015, pursuant to a Rule 10b5-1 trading plan.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.07, inclusive.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.39, inclusive. The reporting person undertakes to provide to Zeltiq Aesthetics, Inc., any security holder of Zeltiq Aesthetics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.
Consists of 3,495 shares of common stock, par value $0.001 per share ("Common Stock") and 3,443 restricted stock units, issued pursuant to the 2011 Equity Incentive Plan of the Issuer. Each restricted stock unit represents a contingent right to receive one share of Common Stock. The restricted stock units vest in 12 ratable monthly installments from the date of grant, subject to Mr. Schiff's continued service with the Issuer. As previously reported, on June 17, 2015, Mr. Schiff was granted 4,996 such restricted stock units, of which 2,081 have vested to date. Also as previously reported, on July 22, 2015, Mr. Schiff was granted an additional 790 such restricted stock units, of which 262 have vested to date. Includes 87 shares of Common Stock held by a trust for the benefit of Mr. Schiff's children.
The shares are directly held by Aisling Capital III, LP ("Aisling") and are indirectly held by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III, LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members of Aisling Partners. The individual managing members (collectively, the "Managers") of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Aisling GP, Aisling Partners, and the Managers share voting and dispositive power over the shares directly held by Aisling. Dr. Andrew Schiff is a member of the Board of Directors of Zeltiq Aesthetics, Inc.
These stock options are held by Mr. Schiff for the benefit of Aisling Capital LLC. Mr. Schiff disclaims beneficial ownership of these securities and this report is not an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
Issued pursuant to the 2011 Equity Incentive Plan of the Issuer.
As of the date of this report, 8,145 shares subject to the option have vested and the remainder will vest in 7 ratable monthly installments hereafter, subject to the Reporting Person's continued service with the Issuer.
These stock options were exercised by our broker, pursuant to instructions given to our broker by the reporting person on November 2, 2015, pursuant to a Rule 10b5-1 trading plan.
/s/ Andrew Schiff
2015-12-09