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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
|
| Stock Option (right to buy) |
$
1.75 |
|
|
|
|
|
|
(
1
) |
02/23/2031 |
Common Stock |
3,865 |
|
|
D |
|
| Stock Option (right to buy) |
$
1.07 |
|
|
|
|
|
|
(
3
) |
02/27/2030 |
Common Stock |
7,729 |
|
|
D |
|
| Stock Option (right to buy) |
$
1.07 |
|
|
|
|
|
|
(
4
) |
02/27/2030 |
Common Stock |
3,865 |
|
|
D |
|
| Stock Option (right to buy) |
$
0.84 |
|
|
|
|
|
|
(
2
) |
09/22/2025 |
Common Stock |
7,729 |
|
|
D |
|
| Series B Convertible Preferred Stock |
(
5
) |
|
|
|
|
|
|
(
5
) |
(
5
) |
Common Stock |
1,424,014 |
|
|
I |
By Bios Memory SPV I, LP. (
6
) |
| Series B Convertible Preferred Stock |
(
5
) |
|
|
|
|
|
|
(
5
) |
(
5
) |
Common Stock |
418,926 |
|
|
I |
By Bios Fund I, LP. (
6
) |
| Series B Convertible Preferred Stock |
(
5
) |
|
|
|
|
|
|
(
5
) |
(
5
) |
Common Stock |
245,029 |
|
|
I |
By Bios Fund I, QP, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
78,298 |
|
|
I |
By Bios Fund II, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
255,765 |
|
|
I |
By Bios Fund II, QP, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
351,844 |
|
|
I |
By Bios Memory SPV II, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
34,238 |
|
|
I |
By Bios Fund II, NT, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
41,620 |
|
|
I |
By Bios Fund III, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock |
596,899 |
|
|
I |
By Bios Fund III, QP, LP. (
6
) |
| Series B-1 Convertible Preferred Stock |
(
7
) |
|
|
|
|
|
|
(
7
) |
(
7
) |
Common S
tock |
34,472 |
|
|
I |
By Bios Fund III, NT, LP. (
6
) |
| Warrant (Right to Buy) |
$
0.03 |
|
|
|
|
|
|
03/15/2016(
8
) |
03/15/2023(
8
) |
Common Stock |
33,495 |
|
|
I |
By Bios Memory SPV II, LP. (
6
) |
| Simple Agreement for Future Equity |
(
9
) |
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock |
$
232,933.33 |
|
|
I |
By Bios Fund III, LP. (
6
) |
| Simple Agreement for Future Equity |
(
9
) |
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock |
$
1,521,373.34 |
|
|
I |
By Bios Fund III, QP, LP. (
6
) |
| Simple Agreement for Future Equity |
(
9
) |
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock |
$
245,693.33 |
|
|
I |
By Bios Fund III, NT, LP. (
6
) |
|