|
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
|
Warrants to Purchase Series B Preferred Stock |
$
0.12 |
10/22/2018 |
|
M(
4
) |
|
|
19,061 |
(
5
) |
(
5
) |
Series B Preferred Stock (
1
) |
19,061 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
M(
4
) |
|
19,061 |
|
(
1
) |
(
1
) |
Common Stock |
19,061 |
$
0.12 |
1,045,222 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
S(
4
) |
|
|
458 |
(
1
) |
(
1
) |
Common Stock |
458 |
$
5 |
1,044,764 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Warrants to Purchase Series B Preferred Stock |
$
0.12 |
10/22/2018 |
|
M(
4
) |
|
|
1,731 |
(
5
) |
(
5
) |
Series B Preferred Stock (
1
) |
1,731 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
M(
4
) |
|
1,731 |
|
(
1
) |
(
1
) |
Common Stock |
1,731 |
$
0.12 |
94,916 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
S(
4
) |
|
|
42 |
(
1
) |
(
1
) |
Common Stock |
42 |
$
5 |
94,874 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Warrants to Purchase Series C-1 Preferred Stock |
$
0.12 |
10/22/2018 |
|
M(
4
) |
|
|
47,458 |
(
5
) |
(
5
) |
Series C-1
Preferred Stock (
1
) |
47,458 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
M(
4
) |
|
47,458 |
|
(
1
) |
(
1
) |
Common Stock |
47,458 |
$
0.12 |
150,459 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
S(
4
) |
|
|
1,139 |
(
1
) |
(
1
) |
Common Stock |
1,139 |
$
5 |
149,320 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Warrants to Purchase Series C-1 Preferred Stock |
$
0.12 |
10/22/2018 |
|
M(
4
) |
|
|
4,309 |
(
5
) |
(
5
) |
Series C-1 Preferred Stock (
1
) |
4,309 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
M(
4
) |
|
4,309 |
|
(
1
) |
(
1
) |
Common Stock |
4,309 |
$
0.12 |
13,662 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
S(
4
) |
|
|
104 |
(
1
) |
(
1
) |
Common Stock |
104 |
$
5 |
13,558 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Warrants to Purchase Series C-1 Preferred Stock |
$
0.12 |
10/22/2018 |
|
M(
4
) |
|
|
41,414 |
(
5
) |
(
5
) |
Series C-1 Preferred Stock (
1
) |
41,414 |
$
0 |
0 |
I |
By Venture Capital Multiplier Fund (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
M(
4
) |
|
41,414 |
|
(
1
) |
(
1
) |
Common Stock |
41,414 |
$
0.12 |
41,414 |
I |
By Venture Capital Multiplier Fund (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
S(
4
) |
|
|
994 |
(
1
) |
(
1
) |
Common Stock |
994 |
$
5 |
40,420 |
I |
By Venture Capital Multiplier Fund (
3
) |
Series 1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
52,690 |
(
1
) |
(
1
) |
Common Stock |
52,690 |
$
0 |
0 |
I |
By Hatteras Venture Partners I, LP (
2
) |
Series 1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
42,530 |
(
1
) |
(
1
) |
Common Stock |
42,530 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series 1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
3,862 |
(
1
) |
(
1
) |
Common Stock |
3,862 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series 1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
4,846 |
(
1
) |
(
1
) |
Common Stock |
4,846 |
$
0 |
0 |
I |
By Catalysta Ventures, LLC (
2
) |
Series AA Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
174,699 |
(
1
) |
(
1
) |
Common Stock |
174,699 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series AA Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
13,609 |
(
1
) |
(
1
) |
Common Stock |
13,609 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
1,044,764 |
(
1
) |
(
1
) |
Common Stock |
1,044,764 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series B Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
94,874 |
(
1
) |
(
1
) |
Common Stock |
94,874 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
149,320 |
(
1
) |
(
1
) |
Common Stock |
149,320 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
13,558 |
(
1
) |
(
1
) |
Common Stock |
13,558 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series C-1 Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
40,420 |
(
1
) |
(
1
) |
Common Stock |
40,420 |
$
0 |
0 |
I |
By Venture Capital Multiplier Fund (
3
) |
Series D Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
272,107 |
(
1
) |
(
1
) |
Common Stock |
272,107 |
$
0 |
0 |
I |
By Hatteras Venture Partners III, LP (
3
) |
Series D Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
24,709 |
(
1
) |
(
1
) |
Common Stock |
24,709 |
$
0 |
0 |
I |
By Hatteras Venture Affiliates III, LP (
3
) |
Series D Preferred Stock |
(
1
) |
10/22/2018 |
|
C |
|
|
226,061 |
(
1
) |
(
1
) |
Common
Stock |
226,061 |
$
0 |
0 |
I |
By Venture Capital Multiplier Fund (
3
) |
|