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 E Preferred Warrant (Right to Buy)
|
Â
(1)
|
Â
(2)
|
Common Stock
|
43,853
(1)
|
$
24.22
|
I
|
I
(3)
(4)
(5)
|
Series E Preferred Stock
|
Â
(1)
|
Â
(6)
|
Common Stock
|
1,047,955
(1)
|
$
0
|
I
|
I
(3)
(4)
(5)
|
Series D Preferred Stock
|
Â
(7)
|
Â
(7)
|
Common Stock
|
623,531
(7)
|
$
0
|
I
|
I
(3)
(4)
(5)
|
Series C Preferred Stock
|
Â
(7)
|
Â
(7)
|
Common Stock
|
128,025
(7)
|
$
0
|
I
|
I
(4)
(5)
(8)
|
Stock Option (Right to Buy)
|
Â
(9)
|
Â
(9)
|
Common Stock
|
8,670
|
$
8.38
|
D
(5)
|
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) |
Reflects the automatic conversion of each share of Series E Preferred Stock into 1.3 shares of Common Stock to occur upon the closing of the Issuer's initial public offering. |
(2) |
Expires immediately prior to the closing of the Issuer's initial public offering. |
(3) |
Biomedical Sciences Investment Fund Pte ltd is the record holder of the securities reported on Lines 1, 2 and 3 of Table II. |
(4) |
EDB Investments Pte Ltd, or EDB Investments, is the parent entity of Biomedical Sciences Investment Fund Pte Ltd and Singapore Bio-Innovations Pte Ltd. The Economic Development Board of Singapore, or EDB, is the parent entity of EDB Investments. EDB is a Singapore government entity. EDB Investments, EDB and the Singapore government may be deemed to have shared voting and dispositive power over the shares owned beneficially and of record by Biomedical Sciences Investment Fund Pte Ltd and Singapore Bio-Innovations Pte Ltd. Jeremy Loh, the reporting person, is a member of the Issuer's Board of Directors and a Vice President (Investments), San Francisco Center for EDB Investments Pte Ltd, Singapore. Dr. Loh disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest in such shares. |
(5) |
Reflects a 1-for-1.73 reverse stock split of the Issuer's outstanding shares effected on February 3, 2011 (Commission File No. 333-170965). |
(6) |
Each share has no expiration date. |
(7) |
Reflects the automatic conversion of each share of Series C Preferred Stock and Series D Preferred Stock into one share of Common Stock to occur upon the closing of the Issuer's initial public offering. Each share has no expiration date. |
(8) |
Singapore Bio-Innovations Pte Ltd is the record holder of the securities reported on Line 4 of Table II. |
(9) |
1/12th of the shares subject to such Option shall vest on each monthly anniversary of November 30, 2010 (the "Vesting Commencement Date"), such that the Option will be fully vested on the first annual anniversary of the Vesting Commencement Date. The Option shall expire on January 6, 2021. |