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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 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 | ||||||||
Non-qualified Stock Option (Right to Purchase) | $ 5.58 | 09/06/2017 | A | 17,500 | (4) | 09/05/2027 | Common Stock | 17,500 | $ 0 | 17,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JANNEY DANIEL C/O ALTA BIOEQUITIES ONE EMBARCADERO CENTER, SUITE 3700 SAN FRANCISCO, CA 94111 |
X |
/s/ Scott Durbin, as Attorney-in-Fact | 09/08/2017 | |
**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 reporting person is a participant in the Issuer's Amended and Restated 2013 Stock Option and Incentive Plan (the "Plan") and received a restricted stock award of 3,025 shares of common stock on September 6, 2017 (the "Grant Date"). The restricted stock award shall vest in full on the Grant Date. |
(2) | Directly beneficially owned by Alta Bioequities, L.P. |
(3) | Alta Bioequities Management, LLC is the general partner of Alta Bioequities, L.P. Daniel Janney is the Managing Director of Alta Bioequities Management, LLC and may be deemed to have voting and investment power over the shares beneficially owned by Alta Bioequities, L.P. Each of Alta Bioequities Management, LLC and Mr. Janney disclaims beneficial ownership of such shares except to the extent of its or his pecuniary interest therein. |
(4) | The reporting person is a participant in the Issuer's Plan and received 17,500 non-qualified stock options on September 6, 2017 (the "Grant Date"). The non-qualified stock options shall vest in full on the first anniversary of the Grant Date. |