UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Option (Right to Buy) | (1) | (1) | Common Stock | 28,487 | $ 1.56 | D | |
Option (Right to Buy) | (2) | 03/16/2025 | Common Stock | 4,243 | $ 19.8 | D | |
Option (Right to Buy) | (3) | 03/07/2028 | Common Stock | 28,335 | $ 5.82 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Beebe Katherine 400 OYSTER POINT BLVD., SUITE 505 SOUTH SAN FRANCISCO, CA 94080 |
Chief Scientific Officer |
/s/Katherine Beebe DeVarney | 02/25/2019 | |
**Signature of Reporting Person | Date |
* | 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) | Represents currently vested options that were granted between May 2009 and February 2017 that were repriced effective January 23, 2019. Of such options, 7,576 expire on May 17, 2019, with the balance expiring on various dates between May 11, 2021 and February 13, 2027. |
(2) | These options, which were granted in March 2015, are fully vested. |
(3) | These options, which were granted in March 2017, are fully vested. |