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 |
Employee Stock Option (right to buy)
|
Â
(2)
|
06/05/2022 |
Common Stock
|
54,973
(1)
|
$
2.03
(1)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(3)
|
06/27/2020 |
Common Stock
|
40,979
(1)
|
$
2.03
(1)
|
D
|
Â
|
Employee Stock Option (right to buy)
|
Â
(4)
|
09/10/2019 |
Common Stock
|
34,482
(1)
|
$
0.87
(1)
|
D
|
Â
|
Series A-1 Convertible Participating Preferred Stock
|
Â
(5)
|
Â
(6)
|
Common Stock
|
1,379
(5)
|
$
(5)
|
D
|
Â
|
Series A-2 Convertible Participating Preferred Stock
|
Â
(5)
|
Â
(6)
|
Common Stock
|
1,799
(5)
|
$
(5)
|
D
|
Â
|
Series B Convertible Participating Preferred Stock
|
Â
(5)
|
Â
(6)
|
Common Stock
|
3,096
(5)
|
$
(5)
|
D
|
Â
|
Series C Convertible Participating Preferred Stock
|
Â
(5)
|
Â
(6)
|
Common Stock
|
4,023
(5)
|
$
(5)
|
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) |
Reflects a one-for-twenty-nine reverse stock split effected on March 5, 2013. |
(2) |
Vested as to 10,307 shares, with further vesting as to an additional 3,436 shares on 6/6/2013 and at the end of each successive three-month period until 6/6/2016. |
(3) |
Vested as to 28,173 shares, with further vesting as to an additional 2,561 shares on 6/18/2013 and at the end of each successive three-month period until 6/18/2014. |
(4) |
Vested as to 31,612 shares, with further vesting as to an additional 1,435 shares on 6/11/2013 and 9/11/2013. |
(5) |
Convertible into Common Stock on a 1-for-29 basis without payment of further consideration. Each share will automatically convert into 1/29th of a share of Common Stock upon the closing of the Issuer's initial public offering. |
(6) |
Not Applicable |