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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)
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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)
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8. Price of Derivative Security
(Instr. 5)
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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
|
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
99 |
(
1
) |
(
1
) |
Common Stock |
5,221 |
$
0 |
0 |
I |
See footnotes (
4
) (
5
) (
6
) (
7
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
66 |
(
1
) |
(
1
) |
Common Stock |
3,480 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
8
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
46 |
(
1
) |
(
1
) |
Common Stock |
2,426 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
9
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
2 |
(
1
) |
(
1
) |
Common Stock |
105 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
10
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
6 |
(
1
) |
(
1
) |
Common Stock |
316 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
11
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
27 |
(
1
) |
(
1
) |
Common Stock |
1,423 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
13
) |
Series C Convertible Preferred Stock |
(
14
) |
10/31/2017 |
|
C |
|
|
2,380 |
(
14
) |
(
14
) |
Common Stock |
125,521 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
15
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
1,502,163 |
(
2
) |
(
2
) |
Common Stock |
1,502,163 |
$
0 |
0 |
I |
See footnotes (
4
) (
5
) (
6
) (
7
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
1,001,441 |
(
2
) |
(
2
) |
Common Stock |
1,001,441 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
8
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
701,010 |
(
2
) |
(
2
) |
Common Stock |
701,010 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
9
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
33,380 |
(
2
) |
(
2
) |
Common Stock |
33,380 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
10
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
100,143 |
(
2
) |
(
2
) |
Common Stock |
100,143 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
11
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
925 |
(
2
) |
(
2
) |
Common Stock |
925 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
13
) |
Series D Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
85,275 |
(
2
) |
(
2
) |
Common Stock |
85,275 |
$
0 |
0 |
I |
See Footnotes (
5
) (
6
) (
7
) (
15
) |
Series E Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
436,026 |
(
3
) |
(
3
) |
Common Stock |
436,026 |
$
0 |
0 |
I |
See footnotes (
4
) (
5
) (
6
) (
7
) |
Series E Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
290,684 |
(
3
) |
(
3
) |
Common Stock |
290,684 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
8
) |
Series E Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
203,478 |
(
3
) |
(
3
) |
Common Stock |
203,478 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
9
) |
Series E Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
9,688 |
(
3
) |
(
3
) |
Common Stock |
9,688 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
10
) |
Series E Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
29,068 |
(
3
) |
(
3
) |
Common Stock |
29,068 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
11
) |
Series F Convertible Preferred Stock |
(
12
) |
10/31/2017 |
|
C |
|
|
540,494 |
(
12
) |
(
12
) |
Common Stock |
540,494 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
13
) |
Series F Convertible Preferred Stock |
(
12
) |
10/31/2017 |
|
C |
|
|
648,592 |
(
12
) |
(
12
) |
Common Stock |
648,592 |
$
0 |
0 |
I |
See footnotes (
5
) (
6
) (
7
) (
16
) |
|
|