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
(2)
|
09/02/2020 |
Common Stock
|
185,960
|
$
1.61
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
09/02/2020 |
Common Stock
|
255,695
|
$
1.61
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
12/29/2020 |
Common Stock
|
158,466
|
$
5.49
|
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) |
The shares are held by Stack Schroon Mohawk FLP. Mr. Stack is the general partner of Stack Schroon Mohawk FLP. |
(2) |
The option vests as to 50% of the option shares on September 2, 2010 and, as to the remaining 50% of the option shares, in successive equal monthly installments for the subsequent 24 months. The option shares become exercisable, to the extent vested, from and after the Issuer's initial public offering. |
(3) |
The option vests as to 25% of the option shares on September 2, 2011 and as to the remaining shares in successive equal monthly installments for the subsequent 36 months. The option shares become exercisable, to the extent vested, from and after the Issuer's initial public offering. |
(4) |
The option vests as to 25% of the option shares on December 29, 2011 and as to the remaining shares in successive equal monthly installments for the subsequent 36 months. The option shares become exercisable, to the extent vested, from and after the Issuer's initial public offering. |