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
|
(2)
|
10/16/2024 |
Common Stock
|
33,334
|
$
0.3
|
D
|
|
Common Stock Purchase Warrant
|
07/01/2017 |
06/15/2022 |
Common Stock
|
1,334
|
$
10.8
|
D
|
|
Common Stock Purchase Warrant
|
07/01/2017 |
06/15/2022 |
Common Stock
|
32,000
|
$
10.8
|
D
|
|
Common Stock Purchase Warrant
|
05/28/2018 |
05/28/2023 |
Common Stock
|
10,843
|
$
9.35
|
D
|
|
9.00% Secured Convertible Promissory Note
|
(3)
|
(4)
|
Common Stock
|
$
100,000
|
$
(3)
|
I
|
By the Robert B. Stewart Sole and Separate Property Trust
|
Common Stock Purchase Warrant
|
03/30/2018 |
03/30/2023 |
Common Stock
|
1,852
|
$
10.8
|
I
|
By the Robert B. Stewart Sole and Separate Property Trust
|
* |
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) |
Consists of 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) |
Stock option vested in equal monthly installments over a 42 month period, and became fully vested on April 16, 2018. |
(3) |
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 Note (the "Note") 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. |
(4) |
The Note will mature on the earlier to occur of (i) the Issuer's IPO or (ii) April 30, 2019. |