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 |
Stock Option (right to buy)
|
Â
(1)
|
03/31/2020 |
Common Stock, par value $0.0001 per share
|
113,600
|
$
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
03/31/2020 |
Common Stock, par value $0.0001 per share
|
38,400
|
$
(2)
|
D
|
Â
|
Warrant (right to buy)
|
04/01/2010 |
04/01/2015 |
Common Stock, par value $0.0001 per share
|
4,030
|
$
12.5
(3)
|
I
|
By limited liability company
|
* |
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 option is currently vested and exercisable as to 88,600 shares. The remaining shares vest in monthly installments as follows: 1,760 shares shall vest each month during fiscal years 2013 and 2014, and 160 shares shall vest each month during fiscal year 2015 until the entire option has vested. The exercise price will be equal to the initial public offering price. |
(2) |
This option is currently vested and exercisable as to 24,000 shares. The remaining shares vest in equal monthly installments of 667 shares through 2015. The exercise price will be equal to the initial public offering price. |
(3) |
The exercise price is subject to anti-dilution adjustment. |