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 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Restricted Stock Unit Award | (1) | 01/01/2023 | Common Stock | 10,000 | $ 0 | D | |
Employee Stock Option | (2) | 07/03/2024 | Common Stock | 12,000 | $ 1.99 | D | |
Employee Stock Option | (3) | 12/08/2024 | Common Stock | 10,000 | $ 0.75 | D | |
Employee Stock Option | (4) | 07/12/2022 | Common Stock | 30,000 | $ 3.94 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Vidwans Smruti J. 44 MONTGOMERY ST, STE 800 SAN FRANCISCO, CA 94104 |
VP and Chief Science Officer |
/s/ Thomas R. Mika by Power of Attorney | 04/07/2015 | |
**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) | The Reporting Person received 10,000 shares of the company's common stock. All 10,000 shares vested on January 1, 2015 and all shares were distributed to the reporting person. |
(2) | The Option shall vest with respect to one-eighth or twelve and one-half percent (12.5%) of the total number of Shares subject to the Option on each of the first days of the last month of each fiscal quarter following the Vesting Commencement Date, subject to Participant's continued status as an employee on each applicable vesting date, such that all Shares subject to the Option shall be fully vested by June 1, 2016. |
(3) | Beginning date exercisable is July 16, 2015 (or earlier, subject to certain conditions) |
(4) | 10% of the total number of shares subject to the option vested on July 12, 2012, 15% of the total number of shares subject to the option vested on July 12, 2013, and 1/48th of the total number of shares subject to the option shall vest on the last day of each month thereafter. |