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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 | ||||||||
Option to Purchase Common Stock | $ 5.88 | 09/02/2014 | M(1) | 2,000 | (2) | 12/17/2018(3) | Common Stock | 2,000 | $ 0 | 20,500 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Kumar Ravindra 128 SIDNEY STREET CAMBRIDGE, MA 02139 |
VP & Chief Scientific Officer |
/s/ John D. Quisel, as attorney-in-fact for Ravindra Kumar | 12/02/2014 | |
**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 reported sales were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | The options of registrant's common stock vested in equal quarterly installments over the first four years after the grant. |
(3) | The expiration date contained in column 6 of the Form 4 filed on September 4, 2014 was incorrect and inadvertently referenced a different option to purchase common stock with the same exercise price. |
(4) | The number of derivative securities beneficially owned following the reported transaction in column 9 of the Form 4 filed on September 4, 2014 incorrectly referenced an option with the same exercise price but with an expiration date of December 2, 2019 instead of the correct option expiring on December 17, 2018. As a result, the number of derivative securities beneficially owned following the reported transaction in column 9 for the option grant with an exercise price of $5.88 per share expiring on December 17, 2018 contained in the Form 4s originally filed on October 1, 2014 and November 14, 2014 are correctly calculated as 16,500 and 12,500, respectively, and the number of derivative securities beneficially owned following the reported transaction in column 9 for the option grant at an exercise price of $5.88 per share expiring on December 2, 2019 for the Form 4s originally filed on October 1, 2014 and November 14, 2014 are correctly calculated as 8,500 and 3,500, respectively. |
Remarks: As noted in footnote 4, this Form 4/A amends the Form 4s filed on September 4, 2014, October 1, 2014 and November 14, 2014. |