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 |
Option to Purchase Common Stock
|
Â
(1)
|
10/06/2019 |
Common Stock
|
4,000
|
$
18.75
|
D
|
Â
|
Option to Purchase Common Stock
|
Â
(2)
|
01/14/2021 |
Common Stock
|
13,600
|
$
15.5
|
D
|
Â
|
Option to Purchase Common Stock
|
Â
(3)
|
07/19/2023 |
Common Stock
|
17,500
|
$
5.49
|
D
|
Â
|
Option to Purchase Common Stock
|
Â
(4)
|
01/17/2024 |
Common Stock
|
20,000
|
$
4.95
|
D
|
Â
|
Option to Purchase Common Stock
|
Â
(5)
|
05/13/2024 |
Common Stock
|
20,000
|
$
2.94
|
D
|
Â
|
Warrant to Purchase Common Stock
|
01/21/2011 |
12/31/2016 |
Common Stock
|
960
|
$
6.25
|
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) |
50% of the Option to Purchase Common Stock vested on October 6, 2010 and 50% of the Option to Purchase Common Stock vested on the date the Issuer received approval for azficel-T. |
(2) |
50% of the Option to Purchase Common Stock vested on January 14, 2011, 25% of the Option to Purchase Common Stock vested on January 14, 2012 and 25% of the Option to Purchase Common Stock vested on January 14, 2013. |
(3) |
25% of the Option to Purchase Common Stock vested on July 19, 2013, 25% of the Option to Purchase Common Stock will vest on July 19, 2014, 25% of the Option to Purchase Common Stock will vest on July 19, 2015 and 25% of the Option to Purchase Common Stock will vest on July 19, 2016; in each case provided the reporting person is providing services to the Issuer on each vesting date. |
(4) |
25% of the Option to Purchase Common Stock will vest on January 17, 2015, 25% of the Option to Purchase Common Stock will vest on January 17, 2016, 25% of the Option to Purchase Common Stock will vest on January 17, 2017, and 25% of the Option to Purchase Common Stock will vest on January 17, 2018; in each case provided the reporting person is providing services to the Issuer on each vesting date. |
(5) |
25% of the Option to Purchase Common Stock will vest on May 13, 2015, 25% of the Option to Purchase Common Stock will vest on May 13, 2016, 25% of the Option to Purchase Common Stock will vest on May 13, 2017, and 25% of the Option to Purchase Common Stock will vest on May 13, 2018; in each case provided the reporting person is providing services to the Issuer on each vesting date. |