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 |
Non-Qualified Stock Option(right to buy)
|
02/01/2011(1)
|
02/01/2020 |
Common Stock
|
405
|
$
5
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
06/01/2011(1)
|
06/01/2020 |
Common Stock
|
1,000
|
$
5
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
04/01/2015(1)
|
04/01/2024 |
Common Stock
|
5,250
|
$
5
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
03/25/2016(1)
|
03/25/2025 |
Common Stock
|
3,750
|
$
13.09
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
05/15/2016(2)
|
05/15/2025 |
Common Stock
|
20,000
|
$
12.46
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
01/14/2017(2)
|
01/14/2026 |
Common Stock
|
15,000
|
$
4.18
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
01/21/2017(2)
|
01/21/2026 |
Common Stock
|
9,210
|
$
4.1
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
01/18/2018(2)
|
01/18/2027 |
Common Stock
|
20,000
|
$
1.73
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
01/02/2019(2)
|
01/02/2028 |
Common Stock
|
20,000
|
$
2.01
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
02/23/2019(3)
|
01/23/2029 |
Common Stock
|
32,800
|
$
0.815
|
D
|
|
Non-Qualified Stock Option(right to buy)
|
07/04/2019(3)
|
06/04/2029 |
Common Stock
|
75,000
|
$
0.7088
|
D
|
|
* |
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) |
The stock options have a 10-year term and vest over five years from the grant date in equal annual installments, subject to continuous employment, such that the total number shall be fully vested on the five-year anniversary of the transaction date. |
(2) |
The stock options have a 10-year term and vest 25% on the first anniversary and then in equal quarterly installments, subject to continuous employment, such that the total number shall be fully vested on the four-year anniversary of the transaction date. |
(3) |
The stock options have a 10-year term and vest over four years from the grant date in equal monthly installments, subject to continuous employment, such that the total number shall be fully vested on the four-year anniversary of the transaction date. |