UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) | Â (2) | 01/19/2028 | Common Stock | 35,000 | $ 4.65 | D | Â |
Stock Option (Right to Buy) | Â (3) | 06/30/2027 | Common Stock | 18,000 | $ 1.08 | D | Â |
Stock Option (Right to Buy) | Â (4) | 01/05/2027 | Common Stock | 30,000 | $ 1.23 | D | Â |
Stock Option (Right to Buy) | Â (5) | 06/30/2026 | Common Stock | 13,500 | $ 1.26 | D | Â |
Stock Option (Right to Buy) | Â (6) | 03/04/2026 | Common Stock | 9,800 | $ 2.15 | D | Â |
Stock Option (Right to Buy) | Â (7) | 05/04/2025 | Common Stock | 18,000 | $ 9.49 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Masamune Hiroko 12340 EL CAMINO REAL, SUITE 250 SAN DIEGO, CA 92130 |
 |  |  Chief Development Officer |  |
/s/ Michael Morneau, as Attorney-in-Fact | 07/03/2018 | |
**Signature of Reporting Person | Date |
* | 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) | Includes 10,000 shares subject to a restricted stock unit award ("RSU") of common stock that was granted on 1/19/2018 under the Issuer's 2014 Equity Incentive Plan. One-third of the shares subject to the RSU shall vest on each one year anniversary of the grant date of the award. |
(2) | 25% of the shares subject to the option will vest on each one year anniversary of the grant date of January 19, 2018. |
(3) | 25% of the shares subject to the option vested or will vest on each one year anniversary of the grant date of June 30, 2017. |
(4) | 25% of the original 40,000 shares subject to the option vested or will vest on each one year anniversary of the grant date of January 5, 2017. |
(5) | 25% of the original 18,000 shares subject to the option vested or will vest on each one year anniversary of the grant date of June 30, 2016. |
(6) | 25% of the original 19,600 shares subject to the option vested or will vest on each one year anniversary of the grant date of March 4, 2016. |
(7) | 25% of the shares subject to the option were vested upon the grant date of May 4, 2015 and 25% of the shares subject to the option vested on each one year anniversary of the grant date. |
 Remarks: Exhibit 24 - Power of Attorney |