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)
|
06/19/2019 |
Common Stock
|
225,352
|
$
1.57
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(2)
|
08/11/2019 |
Common Stock
|
46,725
|
$
3.16
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
08/11/2019 |
Common Stock
|
94,119
|
$
3.16
|
I
|
See Footnote
(12)
|
Stock Option (Right to Buy)
|
Â
(4)
|
04/13/2020 |
Common Stock
|
31,792
|
$
3.16
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
04/13/2020 |
Common Stock
|
85,594
|
$
3.16
|
I
|
See Footnote
(12)
|
Stock Option (Right to Buy)
|
Â
(6)
|
04/06/2021 |
Common Stock
|
110,035
|
$
2.35
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
04/06/2021 |
Common Stock
|
101,232
|
$
2.35
|
I
|
See Footnote
(12)
|
Stock Option (Right to Buy)
|
Â
(8)
|
06/12/2022 |
Common Stock
|
95,377
|
$
2.38
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
06/12/2022 |
Common Stock
|
22,009
|
$
2.38
|
I
|
See Footnote
(12)
|
Restricted Stock Unit
|
Â
(10)
|
Â
(11)
|
Common Stock
|
8,479
|
$
(11)
|
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) |
64,020 shares shall be immediately exercisable upon June 8, 2009 and 1,707 shares shall become exercisable on August 8, 2010. The remainder of the shares vest in equal monthly installments beginning with and including the shares scheduled to vest on September 8, 2010 such that 4,694 shares shall vest and become exercisable on September 8, 2010 and monthly thereafter. |
(2) |
21,522 shares vest and become exercisable on June 8, 2010; 316 shares will vest and become exercisable on the eighth (8th) day of each month commencing on January 8, 2011 and ending on and including December 8, 2012; and 2,935 shares will vest and become exercisable on the eighth (8th) day of each month commencing on January 8, 2013 and ending on and including June 8, 2013. |
(3) |
The shares are fully vested and immediately exercisable. |
(4) |
In accordance with its terms, the option is immediately exercisable in full; however, the shares underlying the option are subject to vesting as follows: the shares shall vest in equal monthly installments commencing on the 1st of the month following April 14, 2010 and continuing thereafter for 47 months until the option is fully vested. Any shares issued upon exercise of unvested options are subject to a repurchase right in favor of the Issuer if Mr. Moch does not satisfy the option's vesting requirements. Vested shares are transferred to The 2012 Kenneth Ian Moch Irrevocable GST Trust F/B/O Ellen Gray Stolzman and Descendants dated May 25, 2012 on a quarterly basis. |
(5) |
The shares are fully vested and immediately exercisable. |
(6) |
In accordance with its terms, the option is immediately exercisable in full; however, the shares underlying the option are subject to vesting as follows: 1/4th of the shares vest one year after April 7, 2011; the remainder of the shares vest in equal monthly installments thereafter over the next three years. Any shares issued upon exercise of unvested options are subject to a repurchase right in favor of the Issuer if Mr. Moch does not satisfy the option's vesting requirements. Vested shares are transferred to The 2012 Kenneth Ian Moch Irrevocable GST Trust F/B/O Ellen Gray Stolzman and Descendants dated May 25, 2012 on a quarterly basis. |
(7) |
The shares are fully vested and immediately exercisable. |
(8) |
In accordance with its terms, the option is immediately exercisable in full; however, the shares underlying the option are subject to vesting as follows: the shares vest in 48 equal monthly installments commencing one month after June 13, 2012. Any shares issued upon exercise of unvested options are subject to a repurchase right in favor of the Issuer if Mr. Moch does not satisfy the option's vesting requirements. Vested shares are transferred to The 2012 Kenneth Ian Moch Irrevocable GST Trust F/B/O Ellen Gray Stolzman and Descendants dated May 25, 2012 on a quarterly basis. |
(9) |
The shares are fully vested and immediately exercisable. |
(10) |
All of the shares subject to the Restricted Stock Unit ("RSU") shall become immediately vested upon the earlier of (i) a Change in Control (as defined in the 2012 Equity Incentive Plan (the "Plan")) and (ii) the effective date of a registration statement of the Issuer filed under the Securities Act (as defined in the Plan) for the sale of the Issuer's Common Stock (either event described in (i) or (ii), a "Vesting Event"), subject to Mr. Moch's Continuous Service (as defined in the Plan) with the Issuer as of the Vesting Event. If a Vesting Event has not occurred at the time of the Mr. Moch's termination of Continuous Service, then the RSU shall terminate in its entirety immediately as of such termination date. Vested shares are transferred to The 2012 Kenneth Ian Moch Irrevocable GST Trust F/B/O Ellen Gray Stolzman and Descendants dated May 25, 2012 on a quarterly basis. |
(11) |
Not applicable. |
(12) |
By The 2012 Kenneth Ian Moch Irrevocable GST Trust F/B/O Ellen Gray Stolzman and Descendants dated May 25, 2012 |