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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock (1) | $ 0 | 05/25/2018 | M | 8,333 | 05/25/2018(2) | (3) | Common Stock | 8,333 | $ 0 | 16,667 | D | ||||
Stock Option (Right to Buy) | $ 7.15 | 04/20/2017(4) | 04/20/2021 | Common Stock | 200,000 | 200,000 | D | ||||||||
Stock Option (Right to Buy) | $ 3.45 | 03/05/2015(5) | 03/05/2019 | Common Stock | 30,000 | 30,000 | D | ||||||||
Stock Option (Right to Buy) | $ 4.78 | 05/04/2016(6) | 05/04/2020 | Common Stock | 200,000 | 200,000 | D | ||||||||
Stock Option (Right to Buy) | $ 7.52 | 04/28/2018(7) | 04/28/2022 | Common Stock | 200,000 | 200,000 | D | ||||||||
Stock Options (Right to Buy) | $ 8.03 | 02/26/2019(8) | 02/26/2023 | Common Stock | 192,500 | 192,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CARDOZA GEORGE 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
President, Pharma Services |
/s/ George Cardoza | 05/29/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Each share of restricted stock represents the contingent right to receive one share of common stock upon vesting. |
(2) | Restricted stock will vest as follows; 8,333 shares vested on May 25, 2018, 8,333 shares will vest on May 25, 2019 and 8,334 shares will vest on May 25, 2020. |
(3) | These restricted shares will terminate upon the earliest of death, termination of employment or the last vesting date. |
(4) | On April 20, 2016, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the first three anniversary dates of the grant date. |
(5) | On March 5, 2014 Mr. Cardoza was granted an option to purchase 30,000 shares. These options vest ratably over the first three anniversary dates of the grant. |
(6) | On May 4, 2015 Mr. Cardoza was granted an option to purchase 200,000 shares. These options vest ratably over the first three anniversary dates of the grant. |
(7) | On April 28, 2017, Mr. Cardoza was granted 200,000 stock options. These options vest ratably over the next three anniversary dates of the grant date. |
(8) | On February 26, 2018, Mr. Cardoza was granted 192,500 stock options. These options vest ratably over the first three anniversary dates of the grant date. |