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-4 Preferred Stock
|
Â
(1)
|
Â
(1)
|
Common Stock
|
93,256
(1)
|
$
1.1
|
D
|
Â
|
Warrant (right to buy)
|
Â
(2)
|
08/27/2020 |
Common Stock
|
15,000
(2)
|
$
1
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(3)
|
08/12/2015 |
Common Stock
|
4,596
|
$
0.005
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(3)
|
02/19/2028 |
Common Stock
|
3,250
|
$
0.395
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(3)
|
12/03/2019 |
Common Stock
|
117,000
|
$
0.405
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(4)
|
04/28/2021 |
Common Stock
|
60,650
(4)
|
$
0.196
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(5)
|
09/12/2023 |
Common Stock
|
25,000
(5)
|
$
3.15
|
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) |
These shares of Series A-4 Preferred Stock were issued on February 23, 2011. Immediately prior to the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, all of these shares of Series A-4 Preferred Stock will be automatically converted into 18,651 shares of Common Stock, which reflects a 1-for-5 reverse stock split of the issuer's Common Stock effected on October 8, 2013 (which post-reverse stock split number has been rounded to the nearest whole share of Common Stock). These shares of Series A-4 Preferred Stock have no expiration date. |
(2) |
This warrant to purchase 15,000 shares of Series A-4 Preferred Stock was issued on August 27, 2010, and is immediately exercisable. Immediately prior to the issuer's initial public offering pursuant to a registration statement on Form S-1 under the Securities Act of 1933, as amended, the warrant will automatically convert into a warrant to purchase 3,000 shares of Common Stock, which reflects a 1-for-5 reverse stock split of the issuer's Common Stock effected on October 8, 2013. |
(3) |
This option is fully vested and exercisable. |
(4) |
This option was granted on April 28, 2011 and is currently vested and exercisable with respect to 37,907 shares underlying the option. The remaining shares underlying this option will vest on the 25th day of each month such that option will be fully vested on March 25, 2015. |
(5) |
This option was granted on September 12, 2013 and is scheduled to vest with respect to 25% of the underlying shares on September 12, 2014, and thereafter in 36 equal installments on each monthly anniversary of the date of grant. |