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)
(2)
|
Â
(3)
|
09/12/2023 |
Common Stock
|
25,000
|
$
1.37
|
D
|
Â
|
Stock Option (right to buy)
(2)
|
Â
(4)
|
11/09/2023 |
Common Stock
|
25,000
|
$
3.83
|
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) |
Held by Equity Trust Company Custodian FBO "Stephen Galliker" IRA. The Reporting Person has sole voting and dispositive power over the shares. |
(2) |
Granted pursuant to the Issuer's 2012 Equity Incentive Plan |
(3) |
8,334 of the shares subject to the option vested on September 11, 2014, with the remaining shares vesting in equal monthly installments over the ensuing 24 months, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting dates. However, all of the options will vest upon the consummation of the Issuer's initial public offering, whichever is sooner. |
(4) |
6,250 of the shares subject to the option vested on November 9, 2014, with the remaining shares vesting in equal monthly installments over the ensuing 36 months, subject to the Reporting Person's continued employment with the Issuer through the applicable vesting dates. |