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 |
Warrant to Purchase Shares of Common Stock
|
(2)
|
(2)
|
Common Stock
|
2,424
(2)
|
$
(2)
|
D
|
|
Series A-1 Preferred Stock
|
(3)
|
(3)
|
Common Stock
|
19,398
(3)
|
$
(3)
|
D
|
|
Series C Preferred Stock
|
(4)
|
(4)
|
Common Stock
|
4,347
(4)
|
$
(4)
|
D
|
|
Series D Preferred Stock
|
(5)
|
(5)
|
Common Stock
|
1,767
(5)
|
$
(5)
|
D
|
|
Series E Preferred Stock
|
(6)
|
(6)
|
Common Stock
|
1,102
(6)
|
$
(6)
|
D
|
|
Series F Preferred Stock
|
(7)
|
(7)
|
Common Stock
|
31,250
(7)
|
$
(7)
|
D
|
|
Stock Options (right to buy)
|
(8)(9)
|
(8)(9)
|
Common Stock
|
3,782
(8)
(9)
|
$
(8)
(9)
|
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) |
Includes 581 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's Common Stock. The restricted stock units vest on the earlier of a change in control or the date of the expiration of the lock up period imposed on the Reporting Person after the completion of the closing of the underwritten initial public offering of shares of the Issuer's Common Stock. |
(2) |
Includes a warrant to purchase 484 shares of the Issuer's Common Stock with an exercise price of $17.53 per share of Common Stock exercisable at any time and expiring March 4, 2018; and a warrant to purchase 1,940 shares of the Issuer's Common Stock with an exercise price of $25.77 per share of Common Stock exercisable at any time and expiring on August 30, 2018. |
(3) |
Upon the closing of the Issuer's initial public offering of shares of its Common Stock, each share of Series A-1 Convertible Preferred Stock will convert into 1.5000 shares of the Issuer's Common Stock pursuant to the terms of the Certificate of Designation for Series A-1 Convertible Preferred Stock of the Issuer. This conversion is reflected in column 3 in the amount of securities underlying the derivative securities. |
(4) |
Upon the closing of the Issuer's initial public offering of shares of its Common Stock, each share of Series C Convertible Preferred Stock will convert into 1.1206 shares of the Issuer's Common Stock pursuant to the terms of the Certificate of Designation for Series C Convertible Preferred Stock of the Issuer. This conversion is reflected in column 3 in the amount of securities underlying the derivative securities. |
(5) |
Upon the closing of the Issuer's initial public offering of shares of its Common Stock, each share of Series D Convertible Preferred Stock will convert into 1.3014 shares of the Issuer's Common Stock pursuant to the terms of the Certificate of Designation for Series D Convertible Preferred Stock of the Issuer. This conversion is reflected in column 3 in the amount of securities underlying the derivative securities. |
(6) |
Upon the closing of the Issuer's initial public offering of shares of its Common Stock, each share of Series E Convertible Preferred Stock will convert into 1.1363 shares of the Issuer's Common Stock pursuant to the terms of the Certificate of Designation for Series E Convertible Preferred Stock of the Issuer. This conversion is reflected in column 3 in the amount of securities underlying the derivative securities. |
(7) |
Upon the closing of the Issuer's initial public offering of shares of its Common Stock, each share of Series F Convertible Preferred Stock will convert into 6.4437 shares of the Issuer's Common Stock pursuant to the terms of the Certificate of Designation for Series F Convertible Preferred Stock of the Issuer. This conversion is reflected in column 3 in the amount of securities underlying the derivative securities. |
(8) |
Includes options to purchase 218 shares of Common Stock at an exercise price of $15.46 per share, exercisable at any time and expiring December 15, 2014; options to purchase 363 shares of at an exercise price of $25.77 per share, exercisable at any time and expiring December 12, 2015; options to purchase 582 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring December 11, 2016; options to purchase 582 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring December 9, 2020; options to purchase 582 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring December 8, 2021; (Continued in Footnote 9) |
(9) |
options to purchase 582 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring March 15, 2022; options to purchase 291 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring March 15, 2022; options to purchase 582 shares of Common Stock at an exercise price of $25.77 per share, exercisable at any time and expiring March 15, 2022. |