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)
|
Â
(4)
|
11/09/2025 |
Common Stock
|
100,000
|
$
29.88
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(5)
|
06/09/2026 |
Common Stock
|
28,100
|
$
11.99
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(6)
|
12/11/2026 |
Common Stock
|
27,800
|
$
11.15
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(7)
|
06/11/2027 |
Common Stock
|
27,975
|
$
10.75
|
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) |
Represents shares acquired in connection with the Issuer's acquisition of BioNovion Holding B.V. The shares were granted to the Reporting Person to be held in escrow, subject to certain vesting and forfeiture provisions. The shares vest in equal quarterly installments over a four year period beginning October 30, 2015. |
(2) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of September 12, 2016. |
(3) |
Represents grant of restricted stock units payable in common stock that vest in four equal annual installments from the vesting commencement date of February 23, 2017. |
(4) |
The shares subject to the Option vest over a four-year period as follows: 25% of the shares vest on the one year anniversary of the vesting commencement date of October 30, 2015 and thereafter the remaining shares vest in a series of equal monthly installments at a rate of one thirty-sixth (1/36th) per month. |
(5) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from June 10, 2016. |
(6) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from December 12, 2016. |
(7) |
The shares subject to the Option vest in a series of equal monthly installments at a rate of one forty-eighth (1/48th) per month upon the Reporting Person's completion of each month of service measured from June 12, 2017. |