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)
|
04/20/2012(1)
|
04/20/2021 |
Common Stock
|
8,000
|
$
5.34
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
11/15/2012(2)
|
11/15/2021 |
Common Stock
|
4,664
|
$
4.42
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
11/15/2013(3)
|
11/15/2018 |
Common Stock
|
12,862
|
$
5.95
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
01/23/2016(4)
|
01/23/2025 |
Common Stock
|
58,994
|
$
4.49
|
D
|
Â
|
Non Qualified Stock Option (Right to Buy)
|
01/23/2016(5)
|
01/23/2025 |
Common Stock
|
22,973
|
$
4.49
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
11/11/2017(6)
|
11/11/2025 |
Common Stock
|
3,269
|
$
4.89
|
D
|
Â
|
Non Qualified Stock Option (Right to Buy)
|
11/11/2016(7)
|
11/11/2025 |
Common Stock
|
22,773
|
$
4.89
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
11/30/2019(8)
|
11/30/2026 |
Common Stock
|
5,293
|
$
4.26
|
D
|
Â
|
Non Qualified Stock Option (Right to Buy)
|
11/30/2017(9)
|
11/30/2026 |
Common Stock
|
15,881
|
$
4.26
|
D
|
Â
|
Employee Stock Option (Right to Buy)
|
12/08/2019(10)
|
11/30/2027 |
Common Stock
|
23,904
|
$
2.82
|
D
|
Â
|
Non Qualified Stock Option (Right to Buy)
|
12/08/2018(11)
|
12/08/2027 |
Common Stock
|
23,905
|
$
2.82
|
D
|
Â
|
Restricted Stock Unit
|
11/11/2018 |
Â
(12)
|
Common Stock
|
10,225
|
$
4.89
|
D
|
Â
|
Restricted Stock Unit
|
11/30/2019 |
Â
(13)
|
Common Stock
|
8,803
|
$
4.26
|
D
|
Â
|
Restricted Stock Unit
|
12/08/2020 |
Â
(14)
|
Common Stock
|
17,730
|
$
2.82
|
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) |
This option becomes exercisable as to one-forth of the total number of each succeeding anniversary of the grant date. Thus this option becomes exercisable, beginning on the first anniversary of the grant date of 4/20/2011, as follows: 2,000 shares on 4/20/2012, 2,000 shares on 4/20/2013, 2,000 shares on 4/20/2014, and 2,000 shares on 4/20/2015. |
(2) |
This option becomes exercisable as to one-forth of the total number of each succeeding anniversary of the grant date. Thus this option becomes exercisable, beginning on the first anniversary of the grant date of 11/15/2011, as follows: 1,166 shares on 11/15/2012, 1,166 shares on 11/15/2013, 1,166 shares on 11/15/2014, and 1,166 shares on 11/15/2015. |
(3) |
This option becomes exercisable as to one-forth of the total number of each succeeding anniversary of the grant date. Thus this option becomes exercisable, beginning on the first anniversary of the grant date of 11/15/2012, as follows: 3,216 shares on 11/15/2013, 3,215 shares on 11/15/2014, 3,216 shares on 11/15/2015, and 3,215 shares on 11/15/2016. |
(4) |
This option becomes exerciable, beginning on the first anniversary of the grant date of 01/23/2015, as follows: 18,011 on 01/23/2016, 20,491 on 01/23/2017, and 20,492 on 01/23/2018. |
(5) |
This option becomes exerciable on 01/23/2016. |
(6) |
This option becomes exerciable as follows: 1,635 on 11/11/2017 and 1,634 on 11/11/2018. |
(7) |
This option becomes exerciable as follows: 13,021 on 11/11/2016, 4,876 on 11/11/2017, and 4,876 on 11/11/2018. |
(8) |
This options becomes exercisable on 11/30/2019. |
(9) |
This option becomes exerciable as follows: 10,587 on 11/30/2017 and 5,294 on 11/30/2018. |
(10) |
This option becomes exerciable as follows: 11,952 on 12/08/2019 and 11,952 on 12/08/2020. |
(11) |
This option becomes exercisable on 12/08/2018. |
(12) |
The security fully vests at time granted and remains restricted until the earlier of 11/11/2018 or the date of the officer's resignation or retirement. |
(13) |
The security fully vests at time granted and remains restricted until the earlier of 11/30/2019 or the date of the officer's resignation or retirement. |
(14) |
The security fully vests at time granted and remains restricted until the earlier of 12/08/2020 or the date of the officer's resignation or retirement. |