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 |
Stock Option (right to buy)
|
Â
(1)
|
03/31/2018 |
Common Stock
|
199,377
|
$
2.42
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(1)
|
09/29/2019 |
Common Stock
|
10,000
|
$
1
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(1)
|
09/09/2020 |
Common Stock
|
300,000
|
$
1
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
11/05/2020 |
Common Stock
|
10,000
|
$
1
|
D
|
Â
|
Class A Warrants (right to buy)
|
09/09/2010 |
03/09/2013 |
Common Stock
|
20,000
|
$
0.5268
|
I
|
Leumi Overseas Trust Corp. Ltd. as TTEE of the BTL Trust
(3)
|
Class B Warrants (right to buy)
|
09/09/2010 |
09/09/2015 |
Common Stock
|
105,000
|
$
0.5649
|
I
|
Leumi Overseas Trust Corp. Ltd. as TTEE of the BTL Trust
(3)
|
8% Senior Convertible Debentures
|
11/26/2012 |
11/26/2015 |
Common Stock
|
1,000,000
|
$
0.3
|
I
|
Leumi Overseas Trust Corp. Ltd. as TTEE of the Tampere Trust
(6)
|
Series A Warrants (right to buy)
|
11/26/2012 |
11/26/2017 |
Common Stock
|
1,000,000
|
$
0.5
|
I
|
Leumi Overseas Trust Corp. Ltd. as TTEE of the Tampere Trust
(6)
|
Series B Warrants
|
11/26/2012 |
05/26/2014 |
Common Stock
|
1,000,000
|
$
0.3
|
I
|
Leumi Overseas Trust Corp. Ltd. as TTEE of the Tampere Trust
(6)
|
Class A Warrants (right to buy)
|
09/09/2010 |
03/09/2013 |
Common Stock
|
10,000
|
$
0.5268
|
I
|
Belldegrun Family Trust
(4)
|
Class B Warrants (right to buy)
|
09/09/2010 |
09/09/2015 |
Common Stock
|
52,500
|
$
0.5649
|
I
|
Belldegrun Family Trust
(4)
|
8% Senior Convertible Debentures
|
11/26/2012 |
11/26/2015 |
Common Stock
|
1,166,667
|
$
0.3
|
I
|
Belldegrun Family Trust
(4)
|
Series A Warrants (right to buy)
|
11/26/2012 |
11/26/2017 |
Common Stock
|
1,166,667
|
$
0.5
|
I
|
Belldegrun Family Trust
(4)
|
Series B Warrants (right to buy)
|
11/26/2012 |
05/26/2014 |
Common Stock
|
1,166,667
|
$
0.3
|
I
|
Belldegrun Family Trust
(4)
|
Class A Warrants (right to buy)
|
09/09/2010 |
03/09/2013 |
Common Stock
|
10,000
|
$
0.5268
|
I
|
MDRB Partnership, L.P.
(5)
|
Class B Warrants (right to buy)
|
09/09/2010 |
09/09/2015 |
Common Stock
|
52,500
|
$
0.5649
|
I
|
MDRB Partnership, L.P.
(5)
|
8% Senior Convertible Debentures
|
11/26/2012 |
11/26/2015 |
Common Stock
|
500,000
|
$
0.3
|
I
|
MDRB Partnership, L.P.
(5)
|
Series A Warrants (right to buy)
|
11/26/2012 |
11/26/2017 |
Common Stock
|
500,000
|
$
0.5
|
I
|
MDRB Partnership, L.P.
(5)
|
Series B Warrants (right to buy)
|
11/26/2012 |
05/26/2014 |
Common Stock
|
500,000
|
$
0.3
|
I
|
MDRB Partnership, L.P.
(5)
|
8% Senior Convertible Debentures
|
11/26/2012 |
11/26/2015 |
Common Stock
|
666,667
|
$
0.3
|
I
|
Arie S. Belldegrun, M.D. Inc. Profit Sharing Plan
(7)
|
Series A Warrants (right to buy)
|
11/26/2012 |
11/26/2017 |
Common Stock
|
666,667
|
$
0.5
|
I
|
Arie S. Belldegrun, M.D. Inc. Profit Sharing Plan
(7)
|
Series B Warrants (right to buy)
|
11/26/2012 |
05/26/2014 |
Common Stock
|
666,667
|
$
0.3
|
I
|
Arie S. Belldegrun, M.D. Inc. Profit Sharing Plan
(7)
|
* |
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) |
Currently exercisable. |
(2) |
Vests in three equal annual installments commencing 11/5/11. |
(3) |
Although the Reporting Person is not a trustee of the BTL Trust, the Reporting Person is a beneficiary of the BTL Trust, and as such may be deemed to be the beneficial owner of the securities owned by the BTL Trust. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(4) |
The Reporting Person is the trustee of the family trust that owns the securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(5) |
The Reporting Person is the managing partner of the limited partnership that owns the securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(6) |
Although the Reporting Person is not a trustee of the Tampere Trust, the Reporting Person is a beneficiary of the Tampere Trust, and as such may be deemed to be the beneficial owner of the securities owned by the Tampere Trust. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein. |
(7) |
The Reporting Person is the trustee of the profit sharing plan that owns the securities. |