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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (1) | 02/11/2015 | 02/11/2024 | Common Stock | 600 | $ 158.8 | D | |
Stock Option (2) | 06/17/2015 | 06/17/2024 | Common Stock | 1,100 | $ 98.7 | D | |
Stock Option (3) | 10/29/2015 | 10/29/2024 | Common Stock | 1,100 | $ 66.8 | D | |
Stock Option (4) | 02/25/2016 | 02/25/2025 | Common Stock | 1,400 | $ 59.5 | D | |
Stock Option (5) | 02/09/2017 | 02/09/2026 | Common Stock | 3,000 | $ 50.3 | D | |
Stock Option (6) | (6) | 02/09/2026 | Common Stock | 3,000 | $ 50.3 | D | |
Stock Option (7) | 03/01/2018 | 03/01/2017 | Common Stock | 9,000 | $ 5.5 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MORRIS JESSICA EDGAR 509 MADISON AVE. - SUITE 306 NEW YORK, NY 10022 |
Chief Operating Officer |
/s/ Jessica Edgar Morris | 01/12/2017 | |
**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) | The option was granted on February 11, 2014 pursuant to the Issuer's 2012 Incentive Stock Option Plan. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |
(2) | The option was granted on June 17, 2014 pursuant to the Issuer's 2014 Stock Incentive Plan (the "Plan"). The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |
(3) | The option was granted on October 29, 2014 pursuant to the Plan. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |
(4) | The option was granted on February 25, 2015 pursuant to the Plan. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |
(5) | The option was granted on February 9, 2016 pursuant to the Plan. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |
(6) | The option was granted on February 9, 2016 pursuant to the Plan. The option vests 1/3rd upon each of the dates that the stock price of the Issuer's common stock has an average closing sales price equal to or exceeding $6.00, $7.00 and $8.00 per share for 20 consecutive trading days. |
(7) | The option was granted on March 1, 2017 pursuant to the Issuer's 2016 Stock Incentive Plan. The option vests 1/3rd on the first anniversary of issuance and 1/36th each month thereafter for 24 months. |