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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (MM/DD/YY)
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3A. Deemed Execution Date, if any (MM/DD/YY)
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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)
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6. Date Exercisable and Expiration Date
(MM/DD/YY)
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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)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
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11. Nature of Indirect Beneficial Ownership
(Instr. 4)
|
Code
|
V
|
(A)
|
(D)
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Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Stock Option (right to buy) |
$
2.02 |
|
|
|
|
|
|
(
2
) |
01/09/2024 |
Common Stock, $0.001 par value per share |
200,000 |
|
200,000 |
D |
|
Stock Option (right to buy) |
$
2.02 |
|
|
|
|
|
|
(
7
) |
01/09/2024 |
Common Stock, $0.001 par value per share |
30,000 |
|
30,000 |
D |
|
Swries C-3 Non-Voting Convertible Preferred Stock |
$
1 |
|
|
|
|
|
|
(
3
) |
(
3
) |
Common Stock, $0.001 par value per share |
45,000 |
|
4,500 |
D |
|
Warrant (right to purchase Common Stock) |
$
0.9 (
4
) |
|
|
|
|
|
|
01/08/2015 |
01/08/2020 |
Common Stock, $0.001 par value per share |
22,500 |
|
22,500 |
D |
|
Series C-3 Non-Voting Convertible Preferred Stock |
$
1 |
|
|
|
|
|
|
(
4
) |
(
4
) |
Common Stock, $0.001 par value per share |
30,000 |
|
3,000 |
I (
1
) |
Wade Capital Corporation Money Purchase Plan |
Warrant (right to purchase Common Stock) |
$
0.9 (
4
) |
|
|
|
|
|
|
01/08/2015 |
01/08/2020 |
Common Stock, $0.001 par value per share |
15,000 |
|
15,000 |
I (
1
) |
Wade Capital Corporation Money Purchase Plan |
Warrant (right to purchase Common Stock) |
$
3.4375 |
|
|
|
|
|
|
08/20/2012 |
04/30/2015(
10
) |
Common Stock, $0.001 par value per share |
5,000 |
|
0 |
D |
|
Stock Option (right to buy) |
$
0.9 |
|
|
|
|
|
|
(
5
) |
03/20/2023 |
Common Stock, $0.001 par value per share |
120,000 |
|
120,000 |
D |
|
Stock Option (right to buy) |
$
0.68 |
|
|
|
|
|
|
(
6
) |
12/05/2022 |
Common Stock, $0.001 par value per share |
150,000 |
|
150,000 |
D |
|
Stock Option (right to buy) |
$
0.29 |
|
|
|
|
|
|
(
7
) |
01/06/2022 |
Common Stock, $0.001 par value per share |
30,000 |
|
30,000 |
D |
|
Stock Option (right to buy) |
$
1.1 |
|
|
|
|
|
|
(
8
) |
08/11/2021 |
Common Stock, $0.001 par value per share |
30,000 |
|
30,000 |
D |
|
Warrant (right to purchase Common Stock) |
$
3.4375 |
|
|
|
|
|
|
(
9
) |
04/30/2015(
10
) |
Common Stock, $0.001 par value per share |
19,536 |
|
0 |
D |
|
Warrant (right to purchase Common Stock) |
$
3.4375 |
|
|
|
|
|
|
(
9
) |
04/30/2015(
10
) |
Common Stock, $0.001 par value per share |
7,900 |
|
0 |
D |
|
Stock Option (right to buy) |
$
5.62 |
|
|
|
|
|
|
(
7
) |
03/01/2025 |
Common Stock, $0.001 par value per share |
50,000 |
|
50,000 |
D |
|
|