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 |
Series A Convertible Preferred Stock
|
Â
(4)
|
Â
(4)
|
Common Stock
|
21,520
|
$
(4)
|
D
|
Â
|
Series D Convertible Preferred Stock
|
Â
(5)
|
Â
(5)
|
Common Stock
|
186,012
|
$
(5)
|
I
|
See footnote
(2)
|
Series E Convertible Preferred Stock
|
Â
(6)
|
Â
(6)
|
Common Stock
|
989,316
|
$
(6)
|
I
|
See footnote
(2)
|
Series G Convertible Preferred Stock
|
Â
(7)
|
Â
(7)
|
Common Stock
|
46,296
|
$
(7)
|
I
|
See footnote
(2)
|
Non-qualified stock option (right to buy)
|
Â
(8)
|
11/28/2015 |
Common Stock
|
199,242
|
$
1.32
|
D
|
Â
|
Non-qualified stock option (right to buy)
|
Â
(8)
|
11/28/2015 |
Common Stock
|
75,757
|
$
1.32
|
D
|
Â
|
Non-qualified stock option (right to buy)
|
Â
(9)
|
08/08/2016 |
Common Stock
|
325,000
|
$
2
|
D
|
Â
|
Employee stock option (right to buy)
|
Â
(9)
|
08/08/2016 |
Common Stock
|
50,000
|
$
2
|
D
|
Â
|
* |
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) |
Shares held directly by the Roshni Singh Annuity Trust dated 6/21/05 for which the Reporting Person serves as trustee. |
(2) |
Shares held directly by the Singh Family Trust U/D/T dated 10/3/96 for which the Reporting Person serves as a trustee. |
(3) |
Shares held directly by the Jagdeep Singh Annuity Trust dated 6/21/06 for which the Reporting Person serves as trustee. |
(4) |
The Series A Convertible Preferred Stock shall automatically convert into Common Stock on a 1:1.033 basis immediately prior to the closing of the Issuer's initial public offering of common stock. |
(5) |
The Series D Convertible Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock. |
(6) |
The Series E Convertible Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock. |
(7) |
The Series G Convertible Preferred Stock shall automatically convert into Common Stock on a one-for-one basis immediately prior to the closing of the Issuer's initial public offering of common stock. |
(8) |
The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on August 26, 2005 and one forty-eighth of the shares shall vest monthly thereafter. |
(9) |
The option is subject to an early exercise provision and is immediately exercisable. One forty-eighth of the shares subject to the option vested on July 29, 2006 and one forty-eighth of the shares shall vest monthly thereafter. |