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 (Right to Buy)
|
Â
(1)
|
02/28/2022 |
Common Stock
|
135,588
(2)
|
$
1.92
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
01/09/2023 |
Common Stock
|
68,749
(2)
|
$
6.72
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
06/29/2020 |
Common Stock
|
15,125
(2)
|
$
2.24
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
06/29/2020 |
Common Stock
|
138,669
(2)
|
$
2.24
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
06/29/2020 |
Common Stock
|
33,482
(2)
|
$
2.24
|
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) |
The option is subject to an early exercise provision and is immediately exercisable. 15% of the shares subject to the Option vested on March 1, 2012 (the "Vesting Commencement Date"), and thereafter 1/48th of the remaining shares subject to the Option vest on each monthly anniversary of the Commencement Date. |
(2) |
Reflects a 1-for-32 reverse stock split of the Issuer's outstanding shares effected June 12, 2013. |
(3) |
The option is subject to an early exercise provision and is immediately exercisable. 1/48th of the shares subject to such Option shall vest on each monthly anniversary of January 10, 2013. |
(4) |
The option is subject to an early exercise provision and is immediately exercisable. The Option vests as to 50% upon the "tools" portion of the Issuer's business becoming profitable, and the remaining 50% upon the FDA's final approval of Prosigna. |
(5) |
The option is subject to an early exercise provision and is immediately exercisable. 25% of the shares subject to the Option vest on the one year anniversary of June 25, 2010 (the "Vesting Commencement Date"), and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the Vesting Commencement Date. |
(6) |
25% of the shares subject to the Option vest on the one year anniversary of June 25, 2010 (the "Vesting Commencement Date"), and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the Vesting Commencement Date. |