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)
|
05/16/2012(1)
|
05/16/2016 |
Common Stock
|
50,000
|
$
1.48
|
D
|
|
Stock Option (Right to Buy)
|
04/12/2012(2)
|
04/12/2017 |
Common Stock
|
10,000
|
$
1.69
|
D
|
|
Stock Option (Right to Buy)
|
04/16/2014(3)
|
04/16/2018 |
Common Stock
|
10,000
|
$
3.76
|
D
|
|
Stock Option (Right to Buy)
|
03/05/2015(4)
|
03/05/2019 |
Common Stock
|
20,000
|
$
3.45
|
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) |
On May 16, 2011 Dr. Brodie was granted 50,000 stock options. The options vest ratably over the first four anniversaries of the grant date. |
(2) |
On April 12, 2012 Dr. Brodie was granted 10,000 stock options. There was immediate vesting of 2,500 shares and then 2,500 shares will vest on the next three anniversary dates of the grant date. |
(3) |
On April 16, 2013 Dr. Brodie was granted 10,000 stock options. These options will vest ratably over the next three anniversary dates of the grant date. |
(4) |
On March 5, 2014 Dr. Brodie was granted 20,000 stock options. The options will vest ratably over the next three anniversary dates of the grant date. |