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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)
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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)
|
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 A Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
5
)
|
|
|
|
|
|
|
(
5
) |
(
5
) |
Common Stock, $0.001 par value
|
85,000
|
|
|
D
(
4
)
|
|
Series B Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
6
)
|
|
|
|
|
|
|
(
6
) |
(
6
) |
Common Stock, $0.001 par value
|
2,083,000
|
|
|
D
(
2
)
|
|
Series B Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
6
)
|
|
|
|
|
|
|
(
6
) |
(
6
) |
Common Stock, $0.001 par value
|
1,659,000
|
|
|
D
(
3
)
|
|
Series B Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
6
)
|
|
|
|
|
|
|
(
6
) |
(
6
) |
Common Stock, $0.001 par value
|
284,000
|
|
|
D
(
4
)
|
|
Series C Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
7
)
|
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock, $0.001 par value
|
1,796,000
|
|
|
D
(
2
)
|
|
Series C Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
7
)
|
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock, $0.001 par value
|
1,445,000
|
|
|
D
(
3
)
|
|
Series C Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
7
)
|
|
|
|
|
|
|
(
7
) |
(
7
) |
Common Stock, $0.001 par value
|
265,000
|
|
|
D
(
4
)
|
|
Series D Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
8
)
|
|
|
|
|
|
|
(
8
) |
(
8
) |
Common Stock, $0.001 par value
|
1,759,000
|
|
|
D
(
2
)
|
|
Series D Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
8
)
|
|
|
|
|
|
|
(
8
) |
(
8
) |
Common Stock, $0.001 par value
|
1,078,000
|
|
|
D
(
3
)
|
|
Series D Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
8
)
|
|
|
|
|
|
|
(
8
) |
(
8
) |
Common Stock, $0.001 par value
|
163,000
|
|
|
D
(
4
)
|
|
Series E Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
9
)
|
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock, $0.001 par value
|
2,670,000
|
|
|
D
(
2
)
|
|
Series E Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
9
)
|
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock, $0.001 par value
|
1,867,000
|
|
|
D
(
3
)
|
|
Series E Convertible Preferred Stock, $0.001 par value
(
1
)
|
(
9
)
|
|
|
|
|
|
|
(
9
) |
(
9
) |
Common Stock, $0.001 par value
|
161,000
|
|
|
D
(
4
)
|
|
Tranche C Warrants
(
1
)
|
$
7.1
|
|
|
|
|
|
|
(
10
)(
11
) |
(
10
)(
11
) |
Common Stock, $0.001 par value
|
1,796,000
|
|
|
D
(
2
)
|
|
Tranche C Warrants
(
1
)
|
$
7.1
|
|
|
|
|
|
|
(
10
)(
11
) |
(
10
)(
11
) |
Common Stock, $0.001 par value
|
1,445,000
|
|
|
D
(
3
)
|
|
Tranche C Warrants
(
1
)
|
$
7.1
|
|
|
|
|
|
|
(
10
)(
11
) |
(
10
)(
11
) |
Common Stock, $0.001 par value
|
265,000
|
|
|
D
(
4
)
|
|
|
|