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
(2)
|
05/01/2017 |
Common Stock
|
53,378
|
$
0.47
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
10/22/2018 |
Common Stock
|
47,794
|
$
1.19
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
01/28/2019 |
Common Stock
|
9,559
|
$
1.19
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(5)
|
01/11/2020 |
Common Stock
|
4,779
|
$
1.19
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(6)
|
01/24/2021 |
Common Stock
|
19,092
|
$
1.19
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(7)
|
01/24/2021 |
Common Stock
|
31,863
|
$
1.19
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(8)
|
12/15/2021 |
Common Stock
|
31,863
|
$
1.41
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(9)
|
02/20/2022 |
Common Stock
|
15,390
|
$
3.11
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(10)
|
10/18/2022 |
Common Stock
|
63,726
|
$
12.08
|
D
|
Â
|
Convertible Promissory Note
|
Â
(11)
|
Â
(11)
|
Common Stock
|
$
25,000
(11)
|
$
(11)
|
I
|
Jointly with Spouse
|
Convertible Promissory Note
|
Â
(11)
|
Â
(11)
|
Common Stock
|
$
5,049
(11)
|
$
(11)
|
I
|
By Trust
(1)
|
Convertible Promissory Note
|
Â
(12)
|
Â
(12)
|
Common Stock
|
$
15,000
(12)
|
$
(12)
|
I
|
Jointly with Spouse
|
* |
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) |
Ownership is held by Florence H. Marrone TOD Pamela G. Marrone. |
(2) |
The option vested with respect to 1/4th of the total shares subject to the option on the first anniversary of the vesting commencement date of May 1, 2007, and 1/48th of the total shares subject to the option monthly thereafter for 36 months. |
(3) |
The option vested with respect to 1/4th of the total shares subject to the option on the first anniversary of the vesting commencement date of November 1, 2008, and 1/48th of the total shares subject to the option monthly thereafter for 36 months. |
(4) |
The option vests with respect to 1/4th of the total shares subject to the option on the first anniversary of the vesting commencement date of January 1, 2009, and 1/48th of the total shares subject to the option monthly thereafter for 36 months. |
(5) |
The option vested with respect to 100% of the total shares subject to the option on the vesting commencement date of January 1, 2010. |
(6) |
The option vested with respect to 100% of the total shares subject to the option on the vesting commencement date of January 1, 2011. |
(7) |
The options vest with respect to 1/4th of the total shares subject to the option on the first anniversary of the vesting commencement date of January 1, 2011, and 1/48th of the total shares subject to the options monthly thereafter for 36 months. |
(8) |
The options vest with respect to 1/60th of the total shares subject to the option one month after the vesting commencement date of November 1, 2011, and 1/60th of the total shares subject to the option monthly thereafter for 36 months. |
(9) |
The options vested with respect to 100% of the total shares subject to the option on the vesting commencement date of February 20, 2012. |
(10) |
The option vests with respect to 1/4th of the total shares subject to the option on October 18, 2013, and 1/48th of the total shares subject to the option monthly thereafter for 36 months. |
(11) |
Lists original principal under the convertible promissory note as of March 16, 2012, the date of purchase. Upon completion of the Issuer's initial public offering, such principal, plus all accrued interest, will automatically convert into common stock at a price per share equal to 70% of the price per share in the Issuer's initial public offering. |
(12) |
Lists original principal under the convertible promissory note as of May 28, 2013, the date of purchase. Upon completion of the Issuer's initial public offering, such principal, plus all accrued interest, will automatically convert into common stock at a price per share equal to 70% of the price per share in the Issuer's initial public offering. |