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 |
Employee Stock Option (Right to Buy)
|
11/28/2012(2)
|
11/28/2021 |
Common Stock
|
5,072
|
$
2.67
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
03/29/2013(3)
|
03/29/2022 |
Common Stock
|
8,654
|
$
1.91
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
03/15/2014(4)
|
03/15/2023 |
Common Stock
|
4,366
|
$
6.25
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
09/01/2017(5)
|
09/01/2026 |
Common Stock
|
43,009
|
$
2.12
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
02/24/2018(6)
|
02/24/2027 |
Common Stock
|
25,000
|
$
1.35
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
03/16/2018(7)
|
03/16/2027 |
Common Stock
|
75,000
|
$
1.28
|
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 number includes restricted stock awards. |
(2) |
Option granted on November 28, 2011 and is fully vested. |
(3) |
Option granted on March 29, 2012 and is fully vested. |
(4) |
Option granted on March 15, 2013 and is fully vested. |
(5) |
Option granted on September 1, 2016. The option is exercisable in three annual installments. The first installment of 14,337 became exercisable on September 1, 2017, and the next two installments of 14,336 each become exercisable on September 1, 2018 and September 1, 2019. |
(6) |
Option granted on February 24, 2017. The option vests in three annual installments of 8,334 shares on February 24, 2018; 8,333 shares on February 24, 2019; and 8,333 shares on February 24, 2020. |
(7) |
Option granted on March 16, 2017. The option vests in three annual installments of 25,000 shares on each of March 16, 2018, March 16, 2019 and March 16, 2020. |