|
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(
e.g.
, puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Transaction Date (MM/DD/YY)
|
3A. Deemed Execution Date, if any (MM/DD/YY)
|
4. Transaction Code
(Instr. 8)
|
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
|
6. Date Exercisable and Expiration Date
(MM/DD/YY)
|
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
|
8. Price of Derivative Security
(Instr. 5)
|
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
|
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
|
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/27/2016 |
12/27/2021 |
Common Stock |
333,333 |
|
333,333 (
1
) |
I |
By Milfam II L.P. |
PIK Interest on Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/27/2016 |
12/27/2021 |
Common Stock |
20,652 (
2
) |
|
20,652 (
1
) (
3
) |
I |
By Milfam II L.P. |
Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
200,000 |
|
200,000 |
D |
|
PIK Interest on Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
15,377 (
2
) |
|
15,377 (
3
) |
D |
|
Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
200,000 |
|
200,000 (
1
) |
I |
By Milfam II L.P. |
PIK Interest on Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
15,377 (
2
) |
|
15,377 (
1
) (
3
) |
I |
By Milfam II L.P. |
Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
200,000 |
|
200,000 (
1
) |
I |
By Trust A-4 - Lloyd I. Miller |
PIK Interest on Junior Secured Convertible Promissory Note |
$
3 |
|
|
|
|
|
|
12/16/2015 |
12/16/2020 |
Common Stock |
15,377 (
2
) |
|
15,377 (
1
) (
3
) |
I |
By Trust A-4 - Lloyd I. Miller |
Junior Secured Convertible Promissory Notes |
$
5.7 |
|
|
|
|
|
|
(
4
) |
12/16/2020 |
Common Stock |
132,015 (
5
) |
|
132,015 (
1
) (
3
) (
5
) |
I |
By Milfam II L.P. |
PIK Interest on Junior Secured Convertible Promissory Note |
$
5.7 |
09/11/2017 |
|
J |
|
20,437.42 |
|
(
4
) |
12/16/2020 |
Common Stock |
3,585
(
5
) |
(
2
) |
3,585 (
1
) (
5
) |
I |
By Milfam II L.P. |
Junior Secured Convertible Promissory Notes |
$
5.7 |
|
|
|
|
|
|
(
4
) |
12/16/2020 |
Common Stock |
132,015 (
5
) |
|
132,015 (
3
) (
5
) |
D |
|
PIK Interest on Junior Secured Convertible Promissory Note |
$
5.7 |
09/11/2017 |
|
J |
|
20,437.37 |
|
(
4
) |
12/16/2020 |
Common Stock |
3,585 (
5
) |
(
2
) |
3,585 (
5
) |
D |
|
Junior Secured Convertible Promissory Notes |
$
5.7 |
|
|
|
|
|
|
(
4
) |
12/16/2020 |
Common Stock |
132,015 (
5
) |
|
132,015 (
1
) (
3
) (
5
) |
I |
By Trust A-4 - Lloyd I. Miller |
PIK Interest on Junior Secured Convertible Promissory Note |
$
5.7 |
09/11/2017 |
|
J |
|
20,437.37 |
|
(
4
) |
12/16/2020 |
Common Stock |
3,585 (
5
) |
(
2
) |
3,585 (
1
) (
5
) |
I |
By Trust A-4 - Lloyd I. Miller |
Additional Extension Payment Shares |
(
6
) |
|
|
|
|
|
|
(
6
) |
(
6
) |
Common Stock |
10,417 |
|
10,417 |
D |
|
Additional Extension Payment Shares |
(
6
) |
|
|
|
|
|
|
(
6
) |
(
6
) |
Common Stock |
10,417 |
|
10,417 (
1
) |
I |
By Milfam II L.P. |
Warrant |
$
6 |
|
|
|
|
|
|
(
7
) |
(
8
) |
Common Stock |
79,787 |
|
79,787 (
1
) |
I |
By Milfam I L.P. |
Warrant |
$
6 |
|
|
|
|
|
|
(
7
) |
(
8
) |
Common Stock |
79,787 |
|
79,787 (
1
) |
I |
By Milfam II L.P. |
Warrant |
$
6 |
|
|
|
|
|
|
(
7
) |
(
8
) |
Common Stock |
79,787 |
|
79,787 (
1
) |
I |
By Trust C - Lloyd I. Miller |
Warrant |
$
7 |
|
|
|
|
|
|
08/27/2014 |
08/27/2019 |
Common Stock |
49,401 |
|
49,401 (
1
) |
I |
By Trust A-4 - Lloyd I. Miller |
Warrant |
$
7 |
|
|
|
|
|
|
08/27/2014 |
08/27/2019 |
Common Stock |
13,722 |
|
13,722 (
1
) |
I |
By Trust C - Lloyd I. Miller |
Warrant |
$
7 |
|
|
|
|
|
|
08/27/2014 |
08/27/2019 |
Common Stock |
74,102 |
|
74,102 (
1
) |
I |
By Milfam II L.P. |
Warrant |
$
7 |
|
|
|
|
|
|
07/24/2014 |
07/24/2019 |
Common Stock |
57,558 |
|
57,558 (
1
) |
I |
By Trust A-4 - Lloyd I. Miller |
Warrant |
$
7 |
|
|
|
|
|
|
07/24/2014 |
07/24/2019 |
Common Stock |
15,988 |
|
15,988 (
1
) |
I |
By Trust C - Lloyd I. Miller |
Warrant |
$
7 |
|
|
|
|
|
|
07/24/2014 |
07/24/2019 |
Common Stock |
86,338 |
|
86,338 (
1
) |
I |
By Milfam II L.P. |
Series A Warrant |
$
7.75 |
|
|
|
|
|
|
12/01/2013 |
05/31/2018 |
Common Stock |
40,894 |
|
40,894 (
1
) |
I |
By Trust A-4 - Lloyd I. Miller |
Series A Warrant |
$
7.75 |
|
|
|
|
|
|
12/01/2013 |
05/31/2018 |
Common Stock |
11,359 |
|
11,359 (
1
) |
I |
By Trust C - Lloyd I. Miller |
Series A Warrant |
$
7.75 |
|
|
|
|
|
|
12/01/2013 |
05/31/2018 |
Common Stock |
61,342 |
|
61,342 (
1
) |
I |
By Milfam II L.P. |
|