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 |
Options (Right to Buy)
|
(6)
|
08/19/2020 |
Common Stock, par value $0.0001 per share
|
14,285
|
$
3.5
|
D
|
|
Options (Right to Buy)
|
(6)
|
02/07/2021 |
Common Stock, par value $0.0001 per share
|
14,285
|
$
3.5
|
D
|
|
Options (Right to Buy)
|
(6)
|
12/31/2022 |
Common Stock, par value $0.0001 per share
|
14,285
|
$
3.5
|
D
|
|
Options (Right to Buy)
|
(6)
|
05/10/2022 |
Common Stock, par value $0.0001 per share
|
71,428
|
$
3.5
|
D
|
|
Options (Right to Buy)
|
(6)
|
02/26/2023 |
Common Stock, par value $0.0001 per share
|
14,285
|
$
3.5
|
D
|
|
Options (Right to Buy)
|
(7)
|
03/20/2024 |
Common Stock, par value $0.0001 per share
|
14,285
|
$
4.27
|
D
|
|
* |
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) |
As spouses, Miriam Blech and Isaac Blech may be deemed the beneficial owner of the securities held by Miriam Blech, Isaac Blech and the trust. Each reporting person disclaims the other reporting persons' beneficial ownership of the securities reported herein, except to its, his or her pecuniary interest therein, if any. |
(2) |
Mr. Blech is the trustee of River Charitable Remainder Unitrust (the "River Trust") and, as such, has sole voting and dispositive power over the River Trust. Mr. Blech disclaims beneficial ownership of the securities held by the River Trust, except to the extent of his pecuniary interest therein, if any. |
(3) |
Mr. Blech is the trustee of Liberty Charitable Remainder Trust (the Liberty "Trust") and, as such, has sole voting and dispositive power over the Liberty Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Liberty Trust, except to the extent of his pecuniary interest therein, if any. |
(4) |
Mr. Blech is the trustee of Summit Charitable Remainder Trust (the "Summit Trust") and, as such, has sole voting and dispositive power over the Summit Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Summit Trust, except to the extent of his pecuniary interest therein, if any. |
(5) |
Mr. Blech is the trustee of Harbor Charitable Remainder Trust (the " Harbor Trust") and, as such, has sole voting and dispositive power over the Harbor Trust. Mr. Blech disclaims beneficial ownership of the securities held by the Harbor Trust, except to the extent of his pecuniary interest therein, if any. |
(6) |
Currently Exercisable |
(7) |
Grant of 14,285 options vests quarterly over 1 year term; 3,571 options to vest on 10/1/2014 |