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 |
Employee Stock Option (Right to Buy)
(2)
|
11/10/2014 |
11/10/2024 |
Common Stock
|
50,000
|
$
4.24
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(2)
|
05/16/2015 |
05/16/2025 |
Common Stock
|
25,000
|
$
3.65
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(2)
|
05/21/2017 |
05/21/2027 |
Common Stock
|
23,500
|
$
1.9
|
D
|
Â
|
Employee Stock Option (Right to Buy)
(2)
|
05/07/2018 |
05/07/2028 |
Common Stock
|
20,000
|
$
1.64
|
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) |
Mr. Harris holds (i) 20,833 restricted stock awards granted to him on May 13, 2013, of which the restrictions will lapse on May 15, 2016, (ii) 11,000 restricted stock awards granted to him on May 21, 2014, half of which the restrictions will lapse on May 21, 2016 and half of which the restrictions will lapse on May 21, 2017 and (iii) 25,500 restricted stock awards granted to him on May 6, 2015, of which one-third of the restrictions will lapse on each of the first, second and third anniversaries of the grant date. |
(2) |
Mr. Harris received options in the amount of 50,000, 25,000, 23,500, and 20,000 on November 11, 2011, May 16, 2012 , May 21, 2014, and May 6, 2015, respectively (each, an "Option Grant Date"), subject to Mr. Harris's continuing employment with the Issuer. The options vest in three equal installments, on an annual basis, beginning on the first anniversary of each respective Option Grant Date. |