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 |
Stock Option
|
(4)
|
01/16/2025 |
Common Stock
|
8,334
|
$
6
|
D
|
|
Stock Option
|
(5)
|
05/12/2025 |
Common Stock
|
16,667
|
$
6
|
D
|
|
Common Stock Purchase Warrant
|
05/25/2018 |
05/25/2023 |
Common Stock
|
13,444
|
$
9.35
|
D
|
|
Common Stock Purchase Warrant
|
05/28/2018 |
05/28/2023 |
Common Stock
|
27,358
|
$
9.35
|
D
|
|
9.00% Secured Convertible Promissory Note
|
(6)
|
(7)
|
Common Stock
|
$
250,000
|
$
(6)
|
I
|
By BigBoy, LLC
(3)
|
9.00% Secured Convertible Promissory Note
|
(6)
|
(7)
|
Common Stock
|
$
53,291
|
$
(6)
|
I
|
By BigBoy, LLC
(3)
|
Common Stock Purchase Warrant
|
02/20/2018 |
02/20/2022 |
Common Stock
|
4,630
|
$
10.8
|
I
|
By BigBoy, LLC
(3)
|
9.00% Secured Convertible Promissory Note
|
(6)
|
(7)
|
Common Stock
|
$
72,409
|
$
(6)
|
I
|
By BigBoy Investment Partnership, LLC
(2)
|
Common Stock Purchase Warrant
|
06/16/2017 |
06/16/2022 |
Common Stock
|
9,667
|
$
9
|
I
|
By BigBoy Investment Partnership, LLC
(2)
|
Common Stock Purchase Warrant
|
06/16/2017 |
06/16/2022 |
Common Stock
|
32,000
|
$
10.8
|
I
|
By BigBoy Investment Partnership, LLC
(2)
|
* |
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) |
Includes 5,455 restricted stock units ("RSUs"), which RSUs will vest in equal installments on a monthly basis and will vest in full on February 25, 2020. |
(2) |
Mr. Gehl is the Managing Member of BigBoy Investment Partnership, LLC. |
(3) |
Mr. Gehl is the Managing Member of BigBoy, LLC. |
(4) |
Stock option vested in equal monthly installments over a 12 month period, and vested in full on January 16, 2016. |
(5) |
Stock option vested in equal monthly installments over a 12 month period, and vested in full on May 12, 2016. |
(6) |
Upon closing of the Issuer's initial public offering (the "IPO"), all outstanding principal and accrued but unpaid interest of the 9.00% Secured Convertible Promissory Notes (the "Notes") will automatically convert into shares of the Issuer's common stock at a conversion price equal to the lesser of (i) $10.80 or (ii) the initial public offering price per share of the Issuer's common stock, less a 15% discount. |
(7) |
The Notes will mature on the earlier to occur of (i) the Issuer's IPO or (ii) April 30, 2019. |