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
|
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
9,885.3043 |
(
2
) |
(
2
) |
Common Stock |
445,283 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
7
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
3,840.2958 |
(
2
) |
(
2
) |
Common Stock |
172,986 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
8
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
3,843.1304 |
(
2
) |
(
2
) |
Common Stock |
173,113 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
9
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
12,991.4871 |
(
2
) |
(
2
) |
Common Stock |
585,202 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
10
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
6,666.6667 |
(
2
) |
(
2
) |
Common Stock |
300,300 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
11
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
16,121.7415 |
(
2
) |
(
2
) |
Common Stock |
726,204 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
12
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
28,751.3742 |
(
2
) |
(
2
) |
Common Stock |
1,295,106 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
13
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Series E Convertible Preferred Stock |
$
22.2 (
2
) (
3
) |
04/01/2016 |
|
J(
1
) |
|
|
17,900 |
(
2
) |
(
2
) |
Common Stock |
806,306 (
2
) (
3
) |
(
1
) |
0 |
I |
See Footnotes (
14
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
9,885.3043 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
445,283 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
7
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
445,283 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
445,283 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
7
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
3,840.2958 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
172,986 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
8
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
172,986 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
172,986 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
8
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
3,843.1304 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
173,113 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
9
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
173,113 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
173,113 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
9
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
12,991.4871 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
585,202 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
10
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
585,202 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
585,202 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
10
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
6,666.6667 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
300,300 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
11
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
300,300 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
300,300 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
11
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
16,121.7415 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
726,204 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
12
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
726,204 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
726,204 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
12
) (
15
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
28,751.3742 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
1,295,106 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
13
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
1,295,106 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
1,295,106 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
13
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Sell) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
17,900 |
|
02/12/2015 |
(
4
) |
Common Stock (
4
) (
5
) |
806,306 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
14
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
Call Right (Obligation to Buy) |
(
4
) |
04/01/2016 |
|
E(
1
) |
|
|
806,306 (
3
) |
02/12/2015 |
(
4
) |
Common Stock (
4
) (
6
) |
806,306 (
3
) |
(
1
) |
0 |
I |
See Footnotes (
14
) (
16
) (
17
) (
18
) (
19
) (
20
) (
21
) |
|
|