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 |
Series A Convertible Preferred Stock
|
Â
(1)
|
Â
(2)
|
Common Stock
|
171,109
(3)
|
$
0
|
D
|
Â
|
Series C Convertible Preferred Stock
|
Â
(1)
|
Â
(2)
|
Common Stock
|
25,376
(3)
|
$
0
|
D
|
Â
|
Series C Warrant
|
Â
(4)
|
Â
(4)
|
Common Stock
|
3,438
(4)
|
$
11.67
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(5)
|
10/02/2018 |
Common Stock
|
113,104
|
$
4.04
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(6)
|
04/02/2019 |
Common Stock
|
124,804
|
$
4.04
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(7)
|
05/02/2021 |
Common Stock
|
31,201
|
$
8.78
|
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) |
Immediately convertible. The Series A Convertible Preferred Stock, Series B Convertible Preferred Stock, Series B-1 Convertible Preferred Stock and Series C Convertible Preferred stock automatically convert into shares of Issuer's common stock immediately prior to the completion of Issuer's initial public offering. |
(2) |
The expiration date is not relevant to the conversion of these securities. |
(3) |
Reflects a 1-for-6.41 reverse stock split, pursuant to which each share of preferred stock became convertible into 1/6.41 of a share of common stock. |
(4) |
In accordance with their terms, the Series C Warrants (the "Warrants") will be net exercised immediately prior to closing of the Issuer's initial public offering into shares of common stock. |
(5) |
25% of the shares subject to the option vest on October 2, 2009 and the remainder shall in equal monthly installments over a period of three years. |
(6) |
25% of the shares subject to the option vest on April 2, 2010 and the remainder shall in equal monthly installments over a period of three years. |
(7) |
25% of the shares subject to the option vest on May 2, 2012 and the remainder shall vest in equal monthly installments over a period of three years. |