|
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
|
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
14,031 |
(
1
) |
(
1
) |
Common Stock |
739,998 |
$
0 |
0 |
I |
See footnote (
6
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
1,297 |
(
1
) |
(
1
) |
Common Stock |
68,404 |
$
0 |
0 |
I |
See footnote (
7
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
3,794 |
(
1
) |
(
1
) |
Common Stock |
200,096 |
$
0 |
0 |
I |
See footnote (
8
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
494 |
(
1
) |
(
1
) |
Common Stock |
26,053 |
$
0 |
0 |
I |
See footnote (
9
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
4,090 |
(
1
) |
(
1
) |
Common Stock |
215,707 |
$
0 |
0 |
I |
See footnote (
10
) |
Series B Convertible Preferred Stock |
(
1
) |
10/31/2017 |
|
C |
|
|
988 |
(
1
) |
(
1
) |
Common Stock |
52,106 |
$
0 |
0 |
I |
See footnotes (
11
) (
12
) |
Series C Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
5,259 |
(
2
) |
(
2
) |
Common Stock |
277,358 |
$
0 |
0 |
I |
See footnote (
6
) |
Series C Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
486 |
(
2
) |
(
2
) |
Common Stock |
25,630 |
$
0 |
0 |
I |
See footnote (
7
) |
Series C Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
1,422 |
(
2
) |
(
2
) |
Common Stock |
74,995 |
$
0 |
0 |
I |
See footnote (
8
) |
Series C Convertible Preferred Stock
td>
| (
2
) |
10/31/2017 |
|
C |
|
|
185 |
(
2
) |
(
2
) |
Common Stock |
9,756 |
$
0 |
0 |
I |
See footnote (
9
) |
Series C Convertible Preferred Stock |
(
2
) |
10/31/2017 |
|
C |
|
|
369 |
(
2
) |
(
2
) |
Common Stock |
19,460 |
$
0 |
0 |
I |
See footnote (
11
) (
12
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
753,146 |
(
3
) |
(
3
) |
Common Stock |
753,146 |
$
0 |
0 |
I |
See footnote (
6
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
69,623 |
(
3
) |
(
3
) |
Common Stock |
69,623 |
$
0 |
0 |
I |
See footnote (
7
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
203,649 |
(
3
) |
(
3
) |
Common Stock |
203,649 |
$
0 |
0 |
I |
See footnote (
8
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
26,511 |
(
3
) |
(
3
) |
Common Stock |
26,511 |
$
0 |
0 |
I |
See footnote (
9
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
41,853 |
(
3
) |
(
3
) |
Common Stock |
41,853 |
$
0 |
0 |
I |
See footnote (
10
) |
Series D Convertible Preferred Stock |
(
3
) |
10/31/2017 |
|
C |
|
|
53,028 |
(
3
) |
(
3
) |
Common Stock |
53,028 |
$
0 |
0 |
I |
See footnote (
11
) (
12
) |
Series D-1 Convertible Preferred Stock |
(
4
) |
10/31/2017 |
|
C |
|
|
151,186 |
(
4
) |
(
4
) |
Common Stock |
151,186 |
$
0 |
0 |
I |
See footnote (
6
) |
Series D-1 Convertible Preferred Stock |
(
4
) |
10/31/2017 |
|
C |
|
|
13,976 |
(
4
) |
(
4
) |
Common Stock |
13,976 |
$
0 |
0 |
I |
See footnote (
7
) |
Series D-1 Convertible Preferred Stock |
(
4
) |
10/31/2017 |
|
C |
|
|
40,880 |
(
4
) |
(
4
) |
Common Stock |
40,880 |
$
0 |
0 |
I |
See footnote (
8
) |
Series D-1 Convertible Preferred Stock |
(
4
) |
10/31/2017 |
|
C |
|
|
5,322 |
(
4
) |
(
4
) |
Common Stock |
5,322 |
$
0 |
0 |
I |
See fotenote (
9
) |
Series D-1 Convertible Preferred Stock |
(
4
) |
10/31/2017 |
|
C |
|
|
10,643 |
(
4
) |
(
4
) |
Common Stock |
10,643 |
$
0 |
0 |
I |
See footnote (
11
) (
12
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
555,128 |
(
5
) |
(
5
) |
Common Stock |
555,128 |
$
0 |
0 |
I |
See footnote (
6
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
51,320 |
(
5
) |
(
5
) |
Common Stock |
51,320 |
$
0 |
0 |
I |
See footnote (
7
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
150,106 |
(
5
) |
(
5
) |
Common Stock |
150,106 |
$
0 |
0 |
I |
See footnote (
8
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
19,540 |
(
5
) |
(
5
) |
Common Stock |
19,540 |
$
0 |
0 |
I |
See footnote (
9
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
80,770 |
(
5
) |
(
5
) |
Common Stock |
80,770 |
$
0 |
0 |
I |
See footnote (
10
) |
Series E Convertible Preferred Stock |
(
5
) |
10/31/2017 |
|
C |
|
|
39,082 |
(
5
) |
(
5
) |
Common Stock |
39,082 |
$
0 |
0 |
I |
See footnotes (
11
) (
12
) |
|
|