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
(1)
|
04/01/2019 |
Common Stock
|
57,499
|
$
8.48
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
01/31/2018 |
Common Stock
|
62,499
|
$
6.44
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(3)
|
05/09/2017 |
Common Stock
|
238,749
|
$
5.2
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(4)
|
02/09/2016 |
Common Stock
|
87,500
|
$
2
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(5)
|
02/01/2015 |
Common Stock
|
250,000
|
$
1.32
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(6)
|
06/17/2012 |
Common Stock
|
50,000
|
$
0.48
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(7)
|
02/02/2020 |
Common Stock
|
39,999
|
$
12.24
|
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 option vests in equal monthly installments from January 1, 2009 through January 1, 2013. |
(2) |
This option vests in equal monthly installments from January 1, 2008 through January 1, 2012. |
(3) |
This option vests in equal monthly installments from January 1, 2007 through January 1, 2011. |
(4) |
This option is fully vested as of January 1, 2010. |
(5) |
This option is fully vested as of January 1, 2009. |
(6) |
This option is fully vested as of June 17, 2009. |
(7) |
This option vests in equal monthly installments from January 1, 2010 through January 1, 2014. |
(8) |
Shares are held by Gabriel Schmergel, Trustee, or his successors in trust, of the Tuan Ha-Ngoc 2009 GRAT. Mr. Schmergel is the trustee of the Tuan Ha-Ngoc 2009 GRAT and he exercises sole voting and investment power over the shares held of record by such trust. Mr. Ha-Ngoc disclaims beneficial ownership over all such shares, except to the extent of his pecuniary interest therein. |