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)
|
06/01/2011 |
06/01/2021 |
Common Stock
|
43,707
(2)
|
$
0.38
(3)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
06/01/2023 |
Common Stock
|
21,853
(2)
|
$
2.02
(3)
|
D
|
|
Stock Option (right to buy)
|
(5)
|
03/01/2025 |
Common Stock
|
21,853
(2)
|
$
2.02
(3)
|
D
|
|
Stock Option (right to buy)
|
(6)
|
11/01/2025 |
Common Stock
|
21,853
(2)
|
$
2.31
(3)
|
D
|
|
Stock Option (right to buy)
|
(7)
|
11/01/2026 |
Common Stock
|
21,853
(2)
|
$
2.31
(3)
|
D
|
|
Stock Option (right to buy)
|
(8)
|
11/01/2027 |
Common Stock
|
21,853
(2)
|
$
2.31
(3)
|
D
|
|
Stock Option (right to buy)
|
(9)
|
11/01/2028 |
Common Stock
|
21,853
(2)
|
$
4.79
(3)
|
D
|
|
Stock Option (right to buy)
|
(10)
|
11/01/2029 |
Common Stock
|
21,853
(2)
|
$
5.57
(3)
|
D
|
|
* |
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 number of shares has been adjusted to reflect a one-for-1.14396 reverse stock split of the Issuer's common stock effected on August 24, 2020 (the "Reverse Split"). |
(2) |
The number of shares has been adjusted to reflect the Reverse Split and excludes fractional shares resulting from the Reverse Split, which shall be paid in cash upon exercise. |
(3) |
The exercise price has been adjusted to reflect the Reverse Split. |
(4) |
The option vested in twelve equal monthly installments beginning on June 1, 2013. |
(5) |
The option vested in twelve equal monthly installments beginning on March 1, 2015. |
(6) |
The option vested in twelve equal monthly installments beginning on November 1, 2015. |
(7) |
The option vested in twelve equal monthly installments beginning on November 1, 2016. |
(8) |
The option vested in twelve equal monthly installments beginning on November 1, 2017. |
(9) |
The option vested in twelve equal monthly installments beginning on November 1, 2018. |
(10) |
The option vested in twelve equal monthly installments beginning on November 1, 2019. |