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)
|
06/16/2019 |
Common Stock
|
10,000
|
$
8.72
|
D
|
Â
|
Series B Convertible Preferred Stock
|
07/25/2003 |
Â
(2)
|
Common Stock
|
43,846
|
$
(2)
|
I
|
Held by AGTC Advisors Fund, L.P.
(3)
|
Series D Convertible Preferred Stock
|
03/26/2007 |
Â
(4)
|
Common Stock
|
5,713
|
$
(4)
|
I
|
Held by AGTC Advisors Fund, L.P.
(3)
|
Series B Convertible Preferred Stock
|
07/25/2003 |
Â
(2)
|
Common Stock
|
725,384
|
$
(2)
|
I
|
Held by Applied Genomic Technology Capital Fund, L.P.
(5)
|
Series D Convertible Preferred Stock
|
03/26/2007 |
Â
(4)
|
Common Stock
|
94,531
|
$
(4)
|
I
|
Held by Applied Genomic Technology Capital Fund, L.P.
(5)
|
* |
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 option first became exercisable on July 31, 2009 and vests over a one-year period in equal monthly installments. |
(2) |
The Series B Convertible Preferred Stock is convertible into Common Stock on a one-for-0.25 basis and has no expiration date. |
(3) |
Held by AGTC Advisors Fund, L.P.; NewcoGen Group, Inc. ("NewcoGen Inc.") is the general partner of AGTC Partners, L.P., which is the general partner of AGTC Advisors Fund, L.P. NewcoGen Inc. is a wholly-owned subsidiary of Flagship Ventures Management, Inc. ("Flagship Inc."). Noubar B. Afeyan Ph.D. and Edwin M. Kania, Jr. are the directors of Flagship Inc. and may be deemed to have beneficial ownership with respect to all shares held by AGTC Advisors Fund, L.P. Dr. Cole disclaims beneficial ownership over shares held by AGTC Advisors Fund, L.P. |
(4) |
The Series D Convertible Preferred Stock is convertible into Common Stock on a one-for-0.25 basis and has no expiration date. |
(5) |
Held by Applied Genomic Technology Capital Fund, L.P.; NewcoGen Inc. is the general partner of AGTC Partners, L.P., which is the general partner of Applied Genomic Technology Capital Fund, L.P. NewcoGen Inc. is a wholly-owned subsidiary of Flagship Inc. Noubar B. Afeyan Ph.D. and Edwin M. Kania, Jr. are the directors of Flagship Inc. and may be deemed to have beneficial ownership with respect to all shares held by Applied Genomic Technology Capital Fund, L.P. Dr. Cole disclaims beneficial ownership over shares held by Applied Genomic Technology Capital Fund, L.P. |