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 |
Incentive Stock Option (right to buy)
|
Â
(1)
|
02/01/2023 |
Common Stock
|
1,200
|
$
30.5
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(2)
|
09/26/2023 |
Common Stock
|
760
|
$
42.75
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(3)
|
09/26/2024 |
Common Stock
|
1,200
|
$
18.75
|
D
|
Â
|
Incentive Stock Option (right to buy)
|
Â
(4)
|
10/01/2025 |
Common Stock
|
2,000
|
$
6.75
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
1,000
|
$
(6)
|
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) |
Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on February 1, 2014, the first anniversary of the grant date. 6.25% vests every three months thereafter. |
(2) |
Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on September 26, 2014, the first anniversary of the grant date. 6.25% vests every three months thereafter. |
(3) |
Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on September 26, 2015, the first anniversary of the grant date. 6.25% vests every three months thereafter. |
(4) |
Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% will vest on October 1, 2016, the first anniversary of the grant date. 6.25% vests every three months thereafter. |
(5) |
Represents restricted stock units granted on October 1, 2015 pursuant to the 2007 Omnibus Incentive Plan. 100% will vest on October 1, 2016, the first anniversary of the grant date. |
(6) |
Each restricted stock unit is the economic equivalent of one share of NovaBay Pharmaceuticals, Inc. common stock. |