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)
|
Â
(2)
|
05/10/2023 |
Common Stock
|
54,855
(1)
|
$
4.38
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
05/10/2023 |
Common Stock
|
54,855
(1)
|
$
5.47
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
05/10/2023 |
Common Stock
|
54,855
(1)
|
$
6.56
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
05/10/2023 |
Common Stock
|
54,855
(1)
|
$
8.75
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
05/10/2023 |
Common Stock
|
54,855
(1)
|
$
10.94
(1)
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(3)
|
03/06/2024 |
Common Stock
|
70,000
|
$
9
|
D
|
Â
|
Warrant (right to buy)
|
06/28/2013 |
06/28/2018 |
Common Stock
|
9,877
(1)
|
$
4.24
(1)
|
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) |
The number of shares and prices reported in this Form 4 reflect a 1-for-43.75 reverse stock split of the common stock of the Issuer that occurred on November 18, 2013. |
(2) |
Represents a single option granted on May 10, 2013 in five separate tranches. Each tranche vests in three equal annual installments, with one-third (1/3rd) vesting on May 10, 2013, May 17, 2014 and May 17, 2015, subject to Mr. Barton's continued service with the Issuer on the applicable vesting date. |
(3) |
The option vests in three equal annual installments, with one-third (1/3rd) vesting on March 6, 2015, 2016 and 2017, subject to Mr. Barton's continued service with the Issuer on the applicable vesting date. |