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
|
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
J(
1
) |
|
388,687 |
|
(
1
) |
12/09/2022 |
Common Stock |
388,687 |
(
1
) |
388,687 |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
|
250,000 |
(
1
) |
12/09/2022 |
Common Stock |
250,000 |
$
0 |
138,687 |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
250,000 |
|
(
1
) |
12/09/2022 |
Common Stock |
250,000 |
$
0 |
250,000 |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
|
100,000 |
(
1
) |
12/09/2022 |
Common Stock |
100,000 |
$
0 |
38,687 |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
100,000 |
|
(
1
) |
12/09/2022 |
Common Stock |
100,000 |
$
0 |
100,000 |
I |
By Trusts (
7
) |
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
|
38,687 |
(
1
) |
12/09/2022 |
Common Stock |
38,687 |
$
0 |
0 |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
38,687 |
|
(
1
) |
12/09/2022 |
Common Stock |
38,687 |
$
0 |
38,687 |
I |
By Spouse |
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
|
38,687 |
(
1
) |
12/09/2022 |
Common Stock |
38,687 |
$
0 |
0 |
I |
By Spouse |
Common Stock Options (to purchase shares of Common Stock) |
$
1.45 |
12/09/2017 |
|
G(
2
) |
|
38,687 |
|
(
1
) |
12/09/2022 |
Common Stock |
38,687 |
$
0 |
38,687 |
I |
By Trust (
9
) |
Common Stock Options (to purchase shares of Common Stock) |
$
2 |
|
|
|
|
|
|
(
3
) |
07/26/2022 |
Common Stock |
25,000 |
|
25,000 |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
2 |
|
|
|
|
|
|
(
4
) |
06/30/2022 |
Common Stock |
30,000 |
|
30,000 |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
2 |
|
|
|
|
|
|
(
4
) |
06/30/2022 |
Common Stock |
20,000 |
|
20,000 |
I |
By Spouse |
Common Stock Options (to purchase shares of Common Stock) |
$
3.9 |
|
|
|
|
|
|
(
5
) |
01/18/2022 |
Common Stock |
35,000 |
|
35,000 |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
3.9 |
|
|
|
|
|
|
(
5
) |
01/18/2022 |
Common Stock |
15,000 |
|
15,000 |
I |
By Trusts (
7
) |
Warrants (right to buy) |
$
6.9225 (
10
) |
|
|
|
|
|
|
(
11
) |
09/30/2020 |
Common Stock |
2,423 (
10
) |
|
2,243 (
10
) |
I |
By Trust (
6
) |
Warrants (right to buy) |
$
6.9225 (
10
) |
|
|
|
|
|
|
(
11
) |
09/30/2020 |
Common Stock |
2,423 (
10
) |
|
2,423 (
10
) |
I |
By Trusts (
8
) |
Common Stock Options (to purchase shares of Common Stock) |
$
7.3775 (
10
) |
|
|
|
|
|
|
(
12
) |
03/31/2021 |
Common Stock |
40,000 (
10
) |
|
40,000 (
10
) |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
7.3775 (
10
) |
|
|
|
|
|
|
(
12
) |
03/31/2021 |
Common Stock |
6,154 (
10
) |
|
6,154 (
10
) |
I |
By Trusts (
7
) |
Common Stock Options (to purchase shares of Common Stock) |
$
7.3775 (
10
) |
|
|
|
|
|
|
(
12
) |
03/31/2021 |
Common Stock |
21,539 (
10
) |
|
21,539 (
10
) |
I |
By Trust (
9
) |
Common Stock Options (to purchase shares of Common Stock) |
$
7.3775 (
10
) |
|
|
|
|
|
|
(
12
) |
03/31/2021 |
COmmon Stock |
6,154 (
10
) |
|
6,154 (
10
) |
I |
By Trusts (
8
) |
Common Stock Options (to purchase shares of Common Stock) |
$
6.396 (
10
) |
|
|
|
|
|
|
(
13
) |
08/18/2022 |
Common Stock |
13,847 (
10
) |
|
13,847 (
10
) |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
6.396 (
10
) |
|
|
|
|
|
|
(
13
) |
08/18/2022 |
Common Stock |
7,693 (
10
) |
|
7,693 (
10
) |
I |
By Trusts (
7
) |
Common Stock Options (to purchase shares of Common Stock) |
$
6.396 (
10
) |
|
|
|
|
|
|
(
13
) |
08/18/2022 |
Common Stock |
7,693 (
10
) |
|
7,693 |
I |
By Trust (
9
) |
Common Stock Options (to purchase shares of Common Stock) |
$
6.396 (
10
) |
|
|
|
|
|
|
(
13
) |
08/18/2022 |
Common Stock |
1,539 (
10
) |
|
1,538 (
10
) |
I |
By Trusts (
8
) |
Common Stock Options (to purchase shares of Common Stock) |
$
8.125 (
10
) |
|
|
|
|
|
|
(
14
) |
06/30/2022 |
Common Stock |
24,616 (
10
) |
|
24,616 (
10
) |
I |
By Trust (
6
) |
Common Stock Options (to purchase shares of Common Stock) |
$
8.125 (
10
) |
|
|
|
|
|
|
(
14
) |
06/30/2022 |
Common Stock |
6,154 (
10
) |
|
6,154 (
10
) |
I |
By Trust (
7
) |
Common Stock Options (to purchase shares of Common Stock) |
$
8.125 (
10
) |
|
|
|
|
|
|
(
14
) |
06/30/2022 |
Common Stock |
13,847 (
10
) |
|
13,847 (
10
) |
I |
By Trust (
9
) |
Common Stock Options (to purchase shares of Common Stock) |
$
8.125 (
10
) |
|
|
|
|
|
|
(
14
) |
06/30/2022 |
Common Stock |
1,539 (
10
) |
|
1,539 (
10
) |
I |
By Trusts (
8
) |
Common Stock Options (to purchase shares of Common Stock) |
$
16.25 (
10
) |
|
|
|
|
|
|
(
15
) |
07/17/2019 |
Common Stock |
6,994 (
10
) |
|
6,994 (
10
) |
D |
|
Common Stock Options (to purchase shares of Common Stock) |
$
16.25 (
10
) |
|
|
|
|
|
|
(
15
) |
07/17/2019 |
Common Stock |
8,392 (
10
) |
|
8,392 (
10
) |
I |
By Trust (
6
) (
7
) (
8
) |
|