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-1 Convertible Preferred Stock
|
Â
(1)
|
Â
(2)
|
Common Stock
|
17,293
(3)
(4)
|
$
(1)
(4)
|
D
|
Â
|
Series E-2 Convertible Preferred Stock
|
Â
(1)
|
Â
(2)
|
Common Stock
|
409
(3)
(4)
|
$
(1)
(4)
|
I
|
See Footnote
(5)
|
Stock Option (Right to Buy)
|
Â
(6)
|
07/20/2020 |
Common Stock
|
36,666
(3)
|
$
2.55
(7)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
04/27/2018 |
Common Stock
|
20,000
(3)
|
$
2.55
(7)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
05/26/2023 |
Common Stock
|
298,749
(3)
|
$
8.7
(7)
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(10)
|
12/16/2023 |
Common Stock
|
99,583
(3)
|
$
9.15
(7)
|
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) |
Immediately convertible into shares of the Issuer's Common Stock. |
(2) |
These shares have no expiration date. |
(3) |
Reflect a 1-for-15 reverse split of the Issuer's issued and outstanding securities effective February 3, 2014. |
(4) |
Each share shall automatically convert into 1 share of the Issuer's Common Stock immediately prior to the closing of the Issuer's initial public offering. |
(5) |
These shares are held by the Dan and Brenda Browne Living Trust. Mr. Browne is a Trustee of the Dan and Brenda Browne Living Trust. |
(6) |
The Option is fully vested as of January 1, 2014. |
(7) |
Price reflects 1-for-15 reverse stock split |
(8) |
The option is fully vested as of April 28, 2012. |
(9) |
The Option shares shall vest as follows: 1/48th of the total number of shares subject to the Option shall vest in 48 equal monthly installments over 4 years following May 27, 2013, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2012 Equity Incentive Plan) as of such date. |
(10) |
The Option shares shall vest as follows: 1/48th of the total number of shares subject to the Option shall vest in 48 equal monthly installments over 4 years following December 17, 2013, subject to Reporting Person's Continuous Service (as defined in the Issuer's 2012 Equity Incentive Plan) as of such date. |