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)
|
04/19/2017 |
Common Stock
|
8,750
|
$
6.1
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(1)
|
04/19/2017 |
Common Stock
|
1,250
|
$
6.1
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
09/24/2017 |
Common Stock
|
15,000
|
$
7.2
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(1)
|
09/24/2017 |
Common Stock
|
1,250
|
$
7.2
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(1)
|
11/16/2017 |
Common Stock
|
1,250
|
$
9.5
|
D
|
Â
|
Series B Convertible Preferred Stock
|
Â
(3)
|
Â
(3)
|
Common Stock
|
11,211
|
$
(3)
|
D
|
Â
|
Series B Convertible Preferred Stock
|
Â
(3)
|
Â
(3)
|
Common Stock
|
20,408
|
$
(3)
|
I
|
See footnotes
(4)
|
* |
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) |
100% vested as of date of grant. |
(2) |
33 1/3 % of the shares subject to the option shall vest on the first anniversary of the vesting start date of 9/24/2007; 1/24th shall vest on each monthly anniversary thereafter. The options may be early exercised prior to vesting but any exercised and unvested shares are subject to a right of repurchase on behalf of the Issuer. |
(3) |
Series B Preferred Stock has no expiration date and is convertible at any time at the option of the holder and will automatically convert upon the closing of the Issuer's initial public offering, at a conversion ratio of one share of Common Stock for every two shares of Series B Preferred Stock, for no additional consideration. |
(4) |
By Raymond James and Associates, Inc. as Custodian f/b/o Eric N. Prystowsky |