Statement of Changes in Beneficial Ownership (4)
January 22 2021 - 05:55PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
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1. Name
and Address of Reporting Person * Bennett Oliver
Christian |
2. Issuer Name and Ticker or Trading
Symbol Sientra, Inc. [ SIEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)_____
Director _____
10% Owner
__X__ Officer (give title
below) _____ Other
(specify below)
GC & Chief Compliance Officer |
(Last)
(First)
(Middle)
420 S. FAIRVIEW AVENUE, SUITE 200 |
3. Date of Earliest Transaction (MM/DD/YYYY)
1/20/2021
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(Street)
SANTA BARBARA, CA 93117
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line) _X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
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1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
1/20/2021 |
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S |
|
4399 (1) |
D |
$4.4902 (2) |
70005 |
D |
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible
securities)
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
Sale of shares to satisfy
the Reporting Person's tax withholding obligation upon the vesting
of 10,000 Restricted Stock Units (RSUs). |
(2) |
The price reported in Column
4 is a weighted average price. The shares were sold in multiple
transactions at prices ranging from $4.45 to $4.53, inclusive. The
Reporting Person undertakes to provide to Sientra, Inc., any
security holder of Sientra, 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 range
set forth in this footnote to this Form 4. |
Reporting
Owners
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Reporting Owner Name / Address |
Relationships
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Director |
10% Owner |
Officer |
Other |
Bennett Oliver Christian
420 S. FAIRVIEW AVENUE, SUITE 200
SANTA BARBARA, CA 93117 |
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GC & Chief Compliance Officer |
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Signatures
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/s/ Oliver Bennett |
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1/22/2021 |
**Signature of Reporting
Person |
Date |