|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 3.7 | (1) | 02/19/2026 | Common Stock | 15,000 | 15,000 | D | ||||||||
Warrant | $ 5 | 03/01/2016 | 03/01/2021 | Common Stock | 37,500 | 37,500 | D | ||||||||
Warrant | $ 5 | 05/18/2016 | 05/18/2021 | Common Stock | 12,500 | 12,500 | D | ||||||||
Stock Option | $ 3.73 | (2) | 06/10/2026 | Common Stock | 29,000 | 29,000 | D | ||||||||
Warrant | $ 4 | 08/05/2016 | 08/05/2021 | Common Stock | 8,000 | 8,000 | D | ||||||||
Warrant | $ 4 | 02/10/2017 | 02/10/2022 | Common Stock | 10,866 | 10,866 | D | ||||||||
Warrant | $ 4 | 03/01/2017 | 03/01/2022 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Option | $ 3.35 | (3) | 06/23/2027 | Common Stock | 100,000 | 100,000 | D | ||||||||
Warrant | $ 4 | 08/11/2017 | A | 5,000 | 08/11/2017 | 08/11/2022 | Common Stock | 5,000 | $ 0 (4) | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CATELL ROBERT B 62 OSBORNE ROAD GARDEN CITY, NY 11530 |
X |
Robert B. Catell | 08/11/2017 | |
**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) | The option vests to the extent of 5,000 shares on each of February 19, 2017, 2018 and 2019. |
(2) | The option vests to the extent of 9,667 shares on each of June 10, 2016 and June 10, 2017, and 9,666 shares on June 10, 2018. |
(3) | The option is exercisable to the extent of 33,334 shares on June 23, 2017, and 33,333 shares on each of June 23, 2018 and June 23, 2019. |
(4) | The Warrant was issued in consideration of an extension of the maturity date of a promissory note issued by the Issuer. |