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 |
Series C Convertible Preferred Stock
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
666,365
|
$
(1)
|
I
|
By wholly-owned Subsidiary
(4)
|
Series D Convertible Preferred Stock
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
1,643,958
|
$
(1)
|
I
|
By wholly-owned Subsidiary
(4)
|
Series E Convertible Preferred Stock
(1)
|
Â
(2)
|
Â
(3)
|
Common Stock
|
811,919
|
$
(1)
|
I
|
By wholly-owned Subsidiary
(4)
|
Warrant to Purchase Common Stock
(5)
|
Â
(6)
|
12/21/2012 |
Common Stock
|
735,000
|
$
3.76
|
I
|
By wholly-owned Subsidiary
(4)
|
* |
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) |
Each share of Series C, Series D and Series E Convertible Preferred Stock will automatically convert on a 1-for-2 basis into common stock upon the consummation of the Issuer's initial public offering. |
(2) |
The securities are convertible at any time at the holder's election. |
(3) |
The securities have no expiration date. |
(4) |
The securities are held directly by Advanced Technology Materials, Inc., ATMI, Inc.'s wholly-owned subsidiary. |
(5) |
The warrant will be exercised upon consummation of the offering. |
(6) |
The warrant is immediately exercisable. |