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)
|
08/17/2016(1)
|
08/17/2025 |
Common Stock
|
60,000
|
$
14.56
|
D
|
Â
|
Stock Option (right to buy)
|
06/01/2017(2)
|
06/01/2026 |
Common Stock
|
4,000
|
$
5.75
|
D
|
Â
|
Stock Option (right to buy)
|
07/18/2017(3)
|
07/18/2026 |
Common Stock
|
40,000
|
$
3.05
|
D
|
Â
|
Stock Option (right to buy)
|
09/30/2017(4)
|
09/30/2026 |
Common Stock
|
38,000
|
$
2.68
|
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) |
15,000 shares exercisable as of filing date, 15,000 shares exercisable commencing on August 17, 2017, 15,000 shares exercisable commencing on August 17, 2018 and 15,000 shares exercisable commencing on August 17, 2019. |
(2) |
Exercisable as to 1,334 shares commencing on June 1, 2017, 1,333 shares exercisable commencing on June 1, 2018, and 1,334 shares exercisable commencing on June 1, 2019. |
(3) |
Exercisable as to 13,334 shares commencing on July 18, 2017, 13,333 shares commencing on July 18, 2018, and 13,333 shares commencing on July 18, 2019. |
(4) |
Exercisable as to 12,667 shares commencing on September 30, 2017, 12,667 shares commencing on September 30, 2018, and 12,666 shares commencing on September 30, 2019. |
(5) |
These shares are restricted stock which vest annually in three equal installments commencing on February 21, 2018. |