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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 | ||||||||
Stock options | $ 6 | 11/26/2019 | M | 18,333 | (1) | 12/31/2027 | Common Stock | 18,333 | $ 0 | 13,671 | D | ||||
Stock options | $ 0.001 | 11/26/2019 | M | 100 | (2) | 12/14/2026 | Common Stock | 100 | $ 0 | 6,900 | D | ||||
Stock options | $ 6 | (3) | 12/30/2028 | Common Stock | 20,000 | 20,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RIOUX PATRICE 1000 SKOKIE BLVD, STE 350 WILMETTE, IL 60091 |
Acting Chief Medical Officer |
/s/ Kim R. Tsuchimoto, Attorney-in-fact | 11/26/2019 | |
**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) | Original stock options to purchase up to 32,004 shares of common stock vested 12,000 shares upon grant date of January 1, 2018 and 1,667 shares on the first of each month thereafter. |
(2) | Original stock options to purchase up to 7,000 shares of common stock vested: 1,190 shares on January 15, 2017; 1,120 shares on February 15, 2017; 1,190 shares on March 15, 2017; 1,120 shares on April 15, 2017; 1,190 shares on May 15, 2017; and 1,190 shares on June 15, 2017. |
(3) | Stock options to purchase up to 20,000 shares of common stock vests 1,667 on January 31, 2019 and the last day of each subsequent month thereafter. |