1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (right to buy)
|
(4)
|
05/16/2013 |
Common Stock
|
333,333
(1)
|
$
0.6
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
07/15/2013 |
Common Stock
|
33,333
(1)
|
$
0.6
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
12/11/2013 |
Common Stock
|
93,333
(1)
|
$
0.6
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
01/05/2015 |
Common Stock
|
53,333
(1)
|
$
0.9
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
01/05/2015 |
Common Stock
|
13,333
(1)
|
$
0.9
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
10/18/2015 |
Common Stock
|
33,333
(1)
|
$
1.05
(1)
|
D
|
|
Stock Option (right to buy)
|
(4)
|
12/13/2015 |
Common Stock
|
46,666
(1)
|
$
1.05
(1)
|
D
|
|
Stock Option (right to buy)
|
(5)
|
01/26/2017 |
Common Stock
|
144,750
(1)
|
$
2.45
(1)
|
D
|
|
Stock Option (right to buy)
|
(6)
|
01/26/2017 |
Common Stock
|
144,750
(1)
|
$
2.45
(1)
|
D
|
|
Stock Option (right to buy)
|
(7)
|
08/28/2017 |
Common Stock
|
225,000
(1)
|
$
6.71
(1)
|
D
|
|
Stock Option (right to buy)
|
(8)
|
10/25/2017 |
Common Stock
|
116,000
(1)
|
$
6.86
(1)
|
D
|
|
Stock Option (right to buy)
|
(9)
|
06/02/2019 |
Common Stock
|
266,666
(1)
|
$
7.46
(1)
|
D
|
|
Stock Option (right to buy)
|
(10)
|
02/11/2020 |
Common Stock
|
266,666
(1)
|
$
10.92
(1)
|
D
|
|
* |
If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) |
Reflects a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-164044). |
(2) |
Shares held by Alan Shaw, Trustee of The Alan Shaw 2008 Annuity Trust, dated June 20, 2008. |
(3) |
Shares held by The Shaw Living Trust Agreement, for which the Reporting Person is trustee. |
(4) |
100% of the shares subject to the option are fully vested and exercisable. |
(5) |
Option vests with respect to 25% of the shares subject thereto on August 23, 2007, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 23, 2010. |
(6) |
Option vests with respect to 25% of the shares subject thereto on December 31, 2007, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on December 31, 2010. |
(7) |
Option vests with respect to 25% of the shares subject thereto on August 28, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on August 28, 2011. |
(8) |
Option vests with respect to 25% of the shares subject thereto on October 25, 2008, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on October 25, 2011. |
(9) |
Option vests with respect to 1/24th of the shares subject thereto monthly commencing on January 1, 2011, such that the option will be fully vested and exercisable on January 1, 2013. |
(10) |
Option vests with respect to 100% of the shares subject thereto on January 1, 2015. Upon the completion of the Issuer's initial public offering, the option will vest with respect to 25% of the shares subject thereto on January 1, 2011, with 1/48th of the shares vesting monthly thereafter, such that the option will be fully vested and exercisable on January 1, 2014. |