UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (2) | 07/30/2023 | Common Stock | 100,000 | $ 3.19 | D | |
Warrants (right to buy) | 09/30/2015 | 09/30/2018 | Common Stock | 1,875 | $ 22.5 | D | |
Warrants (right to buy) | 09/30/2015 | 09/30/2018 | Common Stock | 1,875 | $ 22.5 | I | See footnote (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dach Leslie A 595 MARKET STREET, 29TH FLOOR SAN FRANCISCO, CA 94105 |
X |
/s/ Jay Maloney, Attorney-in-Fact | 05/06/2016 | |
**Signature of Reporting Person | Date |
* | 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) | Securities held of record by the Dach Dickie Family Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(2) | The Reporting Person received an option to purchase 100,000 shares of the Issuer's common stock in connection with his previous service on the Issuer's Board of Directors ("Board"), of which 72,500 shares subject to the option had vested at the time his previous service on the Board terminated in July 2014. The remaining 27,500 stock options resumed vesting beginning May 5, 2016 and will vest in equal monthly increments over the following 11 months, subject to the Reporting Person's continued service through each vesting date. |