|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Non-Qualified Stock Option (right to buy) | $ 2.06 | 01/04/2018 | A | 65,000 | 01/04/2019(2) | 01/04/2028 | Common Stock | 65,000 | (6) | 65,000 | D | ||||
Warrant to Purchase Common Stock | $ 1.47 | 03/14/2017 | 03/14/2022 | Common Stock | 3,366 | 3,366 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 1.97 | 01/03/2018(3) | 01/03/2027 | Common Stock | 228,190 | 228,190 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 4.10 | 01/21/2017(3) | 01/21/2026 | Common Stock | 11,513 | 11,513 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 11/01/2009(4) | 11/01/2018 | Common Stock | 20,000 | 200,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 02/01/2010(4) | 02/01/2019 | Common Stock | 5,081 | 5,081 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 05/01/2010(4) | 05/01/2019 | Common Stock | 10,000 | 10,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 02/01/2011(4) | 02/01/2020 | Common Stock | 14,475 | 14,475 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 06/01/2011(4) | 06/01/2020 | Common Stock | 2,125 | 2,125 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 12/01/2011(5) | 12/01/2020 | Common Stock | 25,000 | 25,000 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 03/01/2012(5) | 03/01/2021 | Common Stock | 6,650 | 6,650 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 03/01/2013(5) | 03/01/2022 | Common Stock | 7,750 | 7,750 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 5 | 04/01/2015(5) | 04/01/2024 | Common Stock | 10,937 | 10,937 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 9 | 09/26/2015(5) | 09/26/2024 | Common Stock | 51,009 | 51,009 | D | ||||||||
Non-Qualified Stock Option (right to buy) | $ 13.09 | 03/26/2016(5) | 03/25/2025 | Common Stock | 6,250 | 6,250 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cosendai Gregoire 12744 SAN FERNANDO ROAD SUITE 400 SYLMAR, CA 91342 |
VP Clinical Affairs |
Gregoire Cosendai | 01/08/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Shares acquired as part of scheduled ESPP purchases. |
(2) | The shares subject to this option shall vest and become exercisable at a rate of 25% of the total number of shares on the one-year anniversary of January 4, 2018 (the "Vesting Commencement Date") and 6.25% of the total number of shares shall vest each quarterly anniversary of the Vesting Commencement Date thereafter, for so long as the Reporting Person provides continuous service to the Issuer, such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Commencement Date. |
(3) | Options vest over a four year term of which one-fourth vest on the Date Exercisable, with the remaining options vesting quarterly over three years thereafter. |
(4) | Options vest in 5 yearly increments starting with the Date Exercisable |
(5) | Options vest in 4 yearly increments starting with the Date Exercisable |
(6) | Not Applicable |