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) | 02/18/2024 | Common Stock | 50,000 | $ 14.34 | D | Â |
Stock Option (right to buy) | Â (3) | 09/15/2024 | Common Stock | 13,282 | $ 10.45 | D | Â |
Stock Option (right to buy) | Â (4) | 03/01/2025 | Common Stock | 13,334 | $ 8.86 | D | Â |
Stock Option (right to buy) | Â (5) | 02/28/2026 | Common Stock | 25,002 | $ 6.45 | D | Â |
Stock Option (right to buy) | Â (6) | 03/14/2026 | Common Stock | 10,939 | $ 5.43 | D | Â |
Stock Option (right to buy) | Â (7) | 03/02/2027 | Common Stock | 56,667 | $ 9.05 | D | Â |
Stock Option (right to buy) | Â (8) | 03/01/2028 | Common Stock | 70,500 | $ 5.98 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kennedy Giulia C 6000 SHORELINE COURT SUITE 300 SOUTH SAN FRANCISCO, CA 94080 |
 |  |  Chief Scientific & Med Officer |  |
/s/ Keith Kennedy as attorney-in-fact | 03/04/2019 | |
**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) | Restricted stock units awarded on March 2, 2018 vests 25% on March 2, 2019 and 3/48 on each quarterly anniversary thereafter subject to continuing employment of the Reporting Person on each vesting date. |
(2) | The option became exercisable as to 25% of the shares on February 19, 2015, and the remaining shares vested at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(3) | The option becomes exercisable as to 25% of the shares on September 16, 2015, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(4) | The option becomes exercisable as to 25% of the shares on March 2, 2016, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(5) | The option became exercisable as to 25% of the shares on March 1, 2017, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(6) | The option becomes exercisable as to 25% of the shares on March 15, 2017, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(7) | The option becomes exercisable as to 25% of the shares on March 3, 2018, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
(8) | The option became exercisable as to 25% of the shares on March 2, 2019, and the remaining shares vest at a rate of 1/48th of the total number of shares subject to the award for each month of continuous service thereafter. |
 Remarks: See Exhibit 24 |