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 |
Option to purchase common stock
(2)
|
02/23/2013 |
02/23/2018 |
Common stock
|
175,000
|
$
3.92
|
D
|
Â
|
Option to purchase common stock
(3)
|
05/01/2013 |
06/06/2023 |
Common stock
|
49,900
|
$
4.46
|
D
|
Â
|
Restricted stock unit
(4)
|
Â
(4)
|
Â
(4)
|
Common stock
|
20,000
|
$
0
|
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) |
Shares acquired through the MoSys Employee Stock Purchase Plan. |
(2) |
This option vests 25% on the one year anniversary of grant date and 1/48th per month thereafter. |
(3) |
This option vests as to 7,300, 7,300, 7,300, 21,000 and 7,000 in fiscal years 2013, 2014, 2015, 2016 and 2017, respectively. |
(4) |
Each RSU represents the right to receive one share of common stock subject to the vesting schedule. 20% of shares subject to the RSU vest on March 18, 2014, Feb. 18, 2015, Feb. 18, 2016, Feb. 18, 2017 and Feb. 18, 2018. |