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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Browne L Daniel C/O REVANCE THERAPEUTICS, INC. 7555 GATEWAY BOULEVARD NEWARK, CA 94560 |
X | CEO and President |
/s/ Gordon Ho, Attorney-in-Fact | 03/19/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents the number of shares withheld by and surrendered to the issuer on March 15, 2019, to satisfy tax withholding obligations that arose in connection with the vesting of a Restricted Stock Award ("RSA") for 28,250 shares. The RSA vests in three equal annual installments from March 15, 2018, subject to Mr. Browne's Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each vesting date. |
(2) | Represents the number of shares withheld by and surrendered to the issuer on March 15, 2019, to satisfy tax withholding obligations that arose in connection with the vesting of an RSA for 25,000 shares. The RSA vests in three equal annual installments from March 15, 2016, subject to Mr. Browne's Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each vesting date. |
(3) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by Mr. Browne. |
(4) | The price reported in Table 1, Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.19 to $15.74. Mr. Browne undertakes to provide to the Issuer, any security holder of the Issuer, 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 range. |
(5) | These shares are held by the Dan and Brenda Browne Living Trust. Mr. Browne is a Trustee of the Dan and Brenda Browne Living Trust. |