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 |
Option to purchase Common Stock, $.001 par value per share
|
Â
(2)
|
11/17/2024 |
Common Stock, pare value $.001
|
20,000
|
$
5.09
|
D
|
Â
|
Option to purchase Common Stock, $.001 par value per share
|
Â
(3)
|
02/17/2025 |
Common Stock, par value $.001
|
20,000
|
$
5.23
|
D
|
Â
|
Option to purchase Common Stock, $.001 par value per share
|
Â
(4)
|
02/24/2026 |
Common Stock, par value $.001
|
12,903
|
$
3.31
|
D
|
Â
|
Option to purchase Common Stock, $.001 par value per share
|
Â
(5)
|
05/03/2027 |
Common Stock, par value $.001
|
9,010
|
$
4.6
|
D
|
Â
|
Option to purchase Common Stock, $.001 par value per share
|
Â
(6)
|
02/29/2028 |
Common Stock, par value $.001
|
21,800
|
$
4.25
|
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 contains 22,900 restricted stock awards. 13,000 shares will vest as to 4,334 on 5/3/2018 and 4,333 shares on each of 5/3/2019 and 5/3/2020. 9,900 shares will vest as to 3,300 shares on each of 2/28/2019, 2/29/2020 and 2/28/2021. |
(2) |
Consist of 12,000 fully vested and exercisable options and 8,000 unvested options that will vest and become exercisable as to 4,000 shares on each of 11/17/2018 and 11/17/2019. |
(3) |
Consist of 12,000 fully vested and exercisable options and 8,000 unvested options that will vest and become exercisable as to 4,000 shares on each of 2/17/2019 and 2/17/2020. |
(4) |
Consist of 5,162 fully vested and exercisable options and 7,741 unvested options that will vest and become exercisable as to 2,581 shares on 2/24/2019 and 2,580 shares on each of 2/24/2020 and 2/24/2021. |
(5) |
Consist of 1,802 fully vested and exercisable options and 7,208 unvested options that will vest and become exercisable as to 1,802 shares on each of 5/3/2019, 5/3/2020, 5/3/2021 and 5/3/2022. |
(6) |
This option will become exercisable as to 4,360 shares on each of 2/28/19, 2/29/2020, 2/28/2021, 2/28/2022 and 2/28/2023. |