1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Common Stock Warrants (right to buy)
|
Â
(4)
|
11/12/2019 |
Class A Common Stock
|
443,132
|
$
(3)
|
D
|
Â
|
Common Stock Warrants (right to buy)
|
Â
(4)
|
11/12/2019 |
Class A Common Stock
|
132,937
|
$
(3)
|
I
|
By The Mary E. Healy Trust
|
Common Stock Warrants (right to buy)
|
Â
(4)
|
11/12/2019 |
Class A Common Stock
|
132,937
|
$
(3)
|
I
|
By The Daniel M. Healy Jr. Trust
|
Common Stock Warrants (right to buy)
|
Â
(4)
|
11/12/2019 |
Class A Common Stock
|
88,624
|
$
(3)
|
I
|
By The Christine Peters Trust
|
Common Stock Warrants (right to buy)
|
Â
(4)
|
11/12/2019 |
Class A Common Stock
|
88,624
|
$
(3)
|
I
|
By The Matthew Healy Trust
|
Option to Purchase
|
01/25/2013 |
12/09/2019 |
Class A Common Stock
|
127,510
|
$
20
|
D
|
Â
|
Option to Purchase
|
01/25/2013 |
03/29/2020 |
Class A Common Stock
|
24,023
|
$
20
|
D
|
Â
|
Option to Purchase
|
01/25/2013 |
01/10/2021 |
Class A Common Stock
|
95,134
|
$
21
|
D
|
Â
|
Option to Purchase
|
Â
(5)
|
12/23/2023 |
Class A Common Stock
|
50,000
|
$
19.75
|
D
|
Â
|
Option to Purchase
|
Â
(6)
|
02/05/2024 |
Class A Common Stock
|
10,000
|
$
19.75
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
This includes shares contributed by Mr. Healy to grantor retained annuity trusts for the benefit of himself and his four children. As the grantor retained annuity trust have an independent trustee, Mr. Healy disclaims beneficial ownership of the securities held by such grantor retained annuity trusts. |
(2) |
This includes 1,995 shares of Class A Common Stock beneficially owned by Mr. Healy through Bond Street Management, LLC. Bond Street Management, LLC is the managing member of Bond Street Investors LLC, and as such has the power to vote, or to direct the voting, of the shares of the Company held by Bond Street Investors LLC. Daniel Healy is one of the managers of Bond Street Management, LLC, and as such may be deemed to directly or indirectly control the vote and disposition of shares of Class A Common Stock held by Bond Street Investors LLC. |
(3) |
This includes 106,952 shares of Class A Common Stock which he may be deemed to beneficially own by reason of ownership of limited liability company interests in Bond Street Investors LLC. Bond Street Investors, LLC is a Delaware limited liability company and a shareholder of the Company and in which certain of our directors and officers, among others, have an interest. |
(4) |
Exercisable in three substantially equal portions on each of the 6-month, 18-month and 30-month anniversaries of the consummation of the initial public offering. The exercise price at the 6-month anniversary of the consummation of the initial public offering is $24.24, the exercise price at the 18-month anniversary of the consummation of the initial public offering is $26.18 and the exercise price at the 30-month anniversary of the consummation of the initial public offering is $28.28. |
(5) |
These options vested immediately upon issuance on December 23, 2013, however none of such options are exercisable until the earlier to occur of a change in control transaction or an initial public offering. In the event of an initial public offering, the options become exercisable in equal installments 6, 18 and 30 months following such offering. |
(6) |
These options were granted on February 5, 2014 and vest on each of March 31, 2014, June 30, 2014, September 30, 2014 and December 31, 2014 in equal installments. |